B 10 (Official Form 10) (04/10) 

UNITED STATES BANKRUPTCY COURT __________ DISTRICT OF __________ PROOF OF CLAIM 

Name of Debtor: Case Number: 

NOTE: This form should not be used to make a claim for an administrative expense arising after the commencement of the case. A request for payment of an 

administrative expense may be filed pursuant to 11 U.S.C. § 503. 

Name of Creditor (the person or other entity to whom the debtor owes money or property): Check this box to indicate that this 

 claim amends a previously filed 

 claim. 

Court Claim Number:______________ 

 (If known) 

Filed on:_____________________ 

Name and address where notices should be sent: 

Telephone number: 

Name and address where payment should be sent (if different from above): 

Telephone number: 

Check this box if you are aware that 

 anyone else has filed a proof of claim 

 relating to your claim. Attach copy of 

 statement giving particulars. 

Check this box if you are the debtor 

 or trustee in this case. 

1. Amount of Claim as of Date Case Filed: $_______________________________ 

If all or part of your claim is secured, complete item 4 below; however, if all of your claim is unsecured, do not complete 

item 4. 

If all or part of your claim is entitled to priority, complete item 5. 

Check this box if claim includes interest or other charges in addition to the principal amount of claim. Attach itemized 

 statement of interest or charges. 

5. Amount of Claim Entitled to 

 Priority under 11 U.S.C. §507(a). If 

 any portion of your claim falls in 

 one of the following categories, 

 check the box and state the 

 amount. 

Specify the priority of the claim. 

 Domestic support obligations under 

 11 U.S.C. §507(a)(1)(A) or (a)(1)(B). 

 Wages, salaries, or commissions (up 

 to $11,725*) earned within 180 days 

 before filing of the bankruptcy 

 petition or cessation of the debtor’s 

 business, whichever is earlier – 11 

 U.S.C. §507 (a)(4). 

 Contributions to an employee benefit 

 plan – 11 U.S.C. §507 (a)(5). 

 Up to $2,600* of deposits toward 

 purchase, lease, or rental of property 

 or services for personal, family, or 

 household use – 11 U.S.C. §507 

 (a)(7). 

 Taxes or penalties owed to 

 governmental units – 11 U.S.C. §507 

 (a)(8). 

 Other – Specify applicable paragraph 

 of 11 U.S.C. §507 (a)(__). 

Amount entitled to priority:

$_______________ 

*Amounts are subject to adjustment on 

4/1/13 and every 3 years thereafter with 

respect to cases commenced on or after 

the date of adjustment.

2. Basis for Claim: _____________________________ 

 (See instruction #2 on reverse side.) 

3. Last four digits of any number by which creditor identifies debtor: ______

 3a. Debtor may have scheduled account as: ____________________ 

 (See instruction #3a on reverse side.) 

4. Secured Claim (See instruction #4 on reverse side.) 

 Check the appropriate box if your claim is secured by a lien on property or a right of setoff and provide the requested 

 information. 

 Nature of property or right of setoff:  Real Estate  Motor Vehicle  Other 

 Describe:

 Value of Property:$________________ Annual Interest Rate_________% 

 Amount of arrearage and other charges as of time case filed included in secured claim, 

 if any: $__________________ Basis for perfection: ____________________ 

 Amount of Secured Claim: $__________________ Amount Unsecured: $__________________ 

6. Credits: The amount of all payments on this claim has been credited for the purpose of making this proof of claim. 

7. Documents: Attach redacted copies of any documents that support the claim, such as promissory notes, purchase 

orders, invoices, itemized statements of running accounts, contracts, judgments, mortgages, and security agreements. 

You may also attach a summary. Attach redacted copies of documents providing evidence of perfection of 

a security interest. You may also attach a summary. (See instruction 7 and definition of “redacted” on reverse side.)

 

DO NOT SEND ORIGINAL DOCUMENTS. ATTACHED DOCUMENTS MAY BE DESTROYED AFTER 

SCANNING. 

If the documents are not available, please explain: 

 D Signature: The person filing this claim must sign it. Sign and print name and title, if any, of the creditor or 

 other person authorized to file this claim and state address and telephone number if different from the notice 

 address above. Attach copy of power of attorney, if any. 

FOR COURT USE ONLY

Penalty for presenting fraudulent claim: Fine of up to $500,000 or imprisonment for up to 5 years, or both. 18 U.S.C. §§ 152 and 3571. 

Date: 

 Southern District of New York

MF Global, Inc. 11-02790

U.S. Commodity Futures Trading Commission

Robert A. Schwartz, Esq.

U.S. Commodity Futures Trading Commission

1155 21st Street NW, Washington, D.C. 20581

(202) 418-5958

see attached

✔

06/01/2012

/s/Robert A. Schwartz, Assistant General Counsel
B 10 (Official Form 10) (04/10) – Cont. 

INSTRUCTIONS FOR PROOF OF CLAIM FORM 

The instructions and definitions below are general explanations of the law. In certain circumstances, such as bankruptcy cases not filed voluntarily by the debtor, there 

may be exceptions to these general rules. 

Items to be completed in Proof of Claim form

Court, Name of Debtor, and Case Number: 

Fill in the federal judicial district where the bankruptcy case was filed (for 

example, Central District of California), the bankruptcy debtor’s name, and the 

bankruptcy case number. If the creditor received a notice of the case from the 

bankruptcy court, all of this information is located at the top of the notice. 

Creditor’s Name and Address: 

Fill in the name of the person or entity asserting a claim and the name and address 

of the person who should receive notices issued during the bankruptcy case. A 

separate space is provided for the payment address if it differs from the notice 

address. The creditor has a continuing obligation to keep the court informed of its 

current address. See Federal Rule of Bankruptcy Procedure (FRBP) 2002(g). 

1. Amount of Claim as of Date Case Filed:

 State the total amount owed to the creditor on the date of the 

 Bankruptcy filing. Follow the instructions concerning whether to 

 complete items 4 and 5. Check the box if interest or other charges are 

 included in the claim. 

2. Basis for Claim: 

 State the type of debt or how it was incurred. Examples include 

 goods sold, money loaned, services performed, personal 

 injury/wrongful death, car loan, mortgage note, and credit card. If the claim is 

 based on the delivery of health care goods or services, limit the disclosure of 

 the goods or services so as to avoid embarrassment or the 

 disclosure of confidential health care information. You may be required 

 to provide additional disclosure if the trustee or another party in interest 

 files an objection to your claim. 

3. Last Four Digits of Any Number by Which Creditor Identifies 

 Debtor: 

 State only the last four digits of the debtor’s account or other number 

 used by the creditor to identify the debtor. 

 3a. Debtor May Have Scheduled Account As:

 Use this space to report a change in the creditor’s name, a transferred 

 claim, or any other information that clarifies a difference between this 

 proof of claim and the claim as scheduled by the debtor. 

4. Secured Claim:

 Check the appropriate box and provide the requested information if 

 the claim is fully or partially secured. Skip this section if the claim is 

 entirely unsecured. (See DEFINITIONS, below.) State the type and 

 the value of property that secures the claim, attach copies of lien 

 documentation, and state annual interest rate and the amount past due 

 on the claim as of the date of the bankruptcy filing.

5. Amount of Claim Entitled to Priority Under 11 U.S.C. §507(a). 

 If any portion of your claim falls in one or more of the listed 

 categories, check the appropriate box(es) and state the amount 

 entitled to priority. (See DEFINITIONS, below.) A claim may be 

 partly priority and partly non-priority. For example, in some of the 

 categories, the law limits the amount entitled to priority. 

6. Credits:

 An authorized signature on this proof of claim serves as an acknowledgment 

 that when calculating the amount of the claim, the creditor gave the debtor 

 credit for any payments received toward the debt. 

7. Documents:

 Attach to this proof of claim form redacted copies documenting the existence 

 of the debt and of any lien securing the debt. You may also attach a summary. 

 You must also attach copies of documents that evidence perfection of any 

 security interest. You may also attach a summary. FRBP 3001(c) and (d). 

 If the claim is based on the delivery of health care goods or services, see 

 instruction 2. Do not send original documents, as attachments may be 

 destroyed after scanning. 

 Date and Signature:

 The person filing this proof of claim must sign and date it. FRBP 9011. If the 

 claim is filed electronically, FRBP 5005(a)(2), authorizes courts to establish 

 local rules specifying what constitutes a signature. Print the name and title, if 

 any, of the creditor or other person authorized to file this claim. State the 

 filer’s address and telephone number if it differs from the address given on the 

 top of the form for purposes of receiving notices. Attach a complete copy of 

 any power of attorney. Criminal penalties apply for making a false statement 

 on a proof of claim. 

__________DEFINITIONS__________ ______INFORMATION______ 

Debtor 

A debtor is the person, corporation, or other entity that 

has filed a bankruptcy case. 

Creditor 

A creditor is a person, corporation, or other entity owed a 

debt by the debtor that arose on or before the date of the 

bankruptcy filing. See 11 U.S.C. §101 (10) 

Claim

A claim is the creditor’s right to receive payment on a 

debt owed by the debtor that arose on the date of the 

bankruptcy filing. See 11 U.S.C. §101 (5). A claim may 

be secured or unsecured. 

Proof of Claim 

A proof of claim is a form used by the creditor to 

indicate the amount of the debt owed by the debtor on 

the date of the bankruptcy filing. The creditor must file 

the form with the clerk of the same bankruptcy court in 

which the bankruptcy case was filed. 

Secured Claim Under 11 U.S.C. §506(a)

A secured claim is one backed by a lien on property of 

the debtor. The claim is secured so long as the creditor 

has the right to be paid from the property prior to other 

creditors. The amount of the secured claim cannot 

exceed the value of the property. Any amount owed to 

the creditor in excess of the value of the property is an 

unsecured claim. Examples of liens on property include 

a mortgage on real estate or a security interest in a car. 

A lien may be voluntarily granted by a debtor or may be 

obtained through a court proceeding. In some states, a 

court judgment is a lien. A claim also may be secured if 

the creditor owes the debtor money (has a right to setoff). 

Unsecured Claim 

An unsecured claim is one that does not meet the 

requirements of a secured claim. A claim may be partly 

unsecured if the amount of the claim exceeds the value 

of the property on which the creditor has a lien. 

Claim Entitled to Priority Under 11 U.S.C. §507(a) 

Priority claims are certain categories of unsecured claims 

that are paid from the available money or property in a 

bankruptcy case before other unsecured claims. 

Redacted

A document has been redacted when the person filing it 

has masked, edited out, or otherwise deleted, certain 

information. A creditor should redact and use only the 

last four digits of any social-security, individual’s taxidentification, or financial-account number, all but the 

initials of a minor’s name and only the year of any 

person’s date of birth. 

Evidence of Perfection

Evidence of perfection may include a mortgage, lien, 

certificate of title, financing statement, or other 

document showing that the lien has been filed or 

recorded. 

Acknowledgment of Filing of Claim

To receive acknowledgment of your filing, you may 

either enclose a stamped self-addressed envelope and a 

copy of this proof of claim or you may access the court’s 

PACER system (www.pacer.psc.uscourts.gov) for a 

small fee to view your filed proof of claim. 

Offers to Purchase a Claim

Certain entities are in the business of purchasing claims 

for an amount less than the face value of the claims. One 

or more of these entities may contact the creditor and 

offer to purchase the claim. Some of the written 

communications from these entities may easily be 

confused with official court documentation or 

communications from the debtor. These entities do not 

represent the bankruptcy court or the debtor. The 

creditor has no obligation to sell its claim. However, if 

the creditor decides to sell its claim, any transfer of such 

claim is subject to FRBP 3001(e), any applicable 

provisions of the Bankruptcy Code (11 U.S.C. § 101 et 

seq.), and any applicable orders of the bankruptcy court. 
Commodity Futures Trading Commission 

Basis for Protective Filing of Proof of Contingent Unliquidated Claim 

On October 31, 2011, the Commission’s Division of Enforcement opened an investigation into 

whether the Commodity Exchange Act or Commission regulations were violated. If this 

investigation were to result in litigation involving MF Global, Inc., a judgment in such litigation 

might be the basis for a general creditor claim in this proceeding. The Commission is filing this 

protective proof of a contingent unliquidated claim to preserve the Commission’s rights in that 

event.