Filing Agents

Below you will find information to assist filing agents for the Alibaba litigation with filing multiple accounts under one claim for this settlement.


  1. If you filed for this account in the state court action that was separately settled through a stipulation of settlement dated December 28, 2018, you may also file for this MDL action.
  2. If your client purchased Alibaba Group Holding Limited (“Alibaba”) American Depositary Shares (“ADS”), purchased call options or sold put options on Alibaba ADS, during the period from September 19, 2014 through and including January 28, 2015, other than those shares purchased directly in the September 19, 2014 Initial Public Offering; and your client is not excluded from the Class, please file a claim form if your client would like to participate in the distribution.
  3. Excluded from the Class by definition are: (a) persons who suffered no compensable losses; and (b) Defendants; the present and former officers and directors of Alibaba at all relevant times; members of their Immediate Families and their legal representatives, heirs, successors, or assigns, and any entity in which any of the Defendants, or any person excluded under this subsection (b), has or had a majority ownership interest at any time. Also excluded from the Class are any persons and entities who or that submit a request for exclusion that is accepted by the Court.
  4. The following are the ticker symbol and cusip number that can be used when searching your system: NYSE:BABA and 01609W102.
  5. The Proof of Claim and Release Form requests transaction information from September 19, 2014 through and including April 28, 2015, as well as holding information at the opening of trading on September 19, 2014 and at the close of trading on April 28, 2015 in order for us to calculate your claim form based on the Plan of Allocation.
  6. Please provide documentation that you have the authority to file on behalf of the claimant.
  7. When providing the claimant information, be sure to provide the beneficial owner’s information such as name, social security or tax identification number, and account number.
  8. Each account must balance to be accepted.

Below is a template you can use when filing the claim form.  Please contact us at 833-226-6360 with any questions.