Important Information for Nominees


If you hold shares of Regulus common stock purchased between February 17, 2016 and June 11, 2017, inclusive, as a nominee for a beneficial owner, then, within ten (10) days after you received this Notice, you must either: (1) send a copy of this Notice and Proof of Claim by first class mail to all such beneficial owners; or (2) provide a list of names and addresses of such Persons to the Claims Administrator.

If you choose to mail the Notice and Proof of Claim yourself, you may obtain from the Claims Administrator (without cost to you) as many additional copies of these documents as you will need to complete the mailing.

Regardless of whether you choose to complete the mailing yourself or elect to have the mailing performed for you, you may obtain reasonable reimbursement for or advancement of reasonable administrative costs actually incurred or expected to be incurred in connection with forwarding the Notice and which would not have been incurred but for the obligation to forward the Notice, upon submission of appropriate documentation to the Claims Administrator.

If you are providing a list of names and addresses to the Administrator:

  1. Compile a list of names, mailing addresses, and, if available, email addresses of the beneficial owners who purchased or otherwise acquired Regulus common stock between February 17, 2016 and June 11, 2017, inclusive.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet for your use can be found by clicking here.
  3. Then you must do one of the following:
    1. Upload the spreadsheet here (preferred);
    2. Email the spreadsheet to:
    3. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to: Regulus Securities Litigation, c/o Analytics Consulting, P.O. Box 2002, Chanhassen, MN 55317-2002.

If you are mailing the Settlement Notice Packet to beneficial owners:

If you elect to mail the Notice Packet to beneficial owners yourself, additional copies may be requested via email to As noted above, you must forward the Notice Package to the beneficial owners within ten (10) calendar days of your receipt of the packets.

If you have any questions, contact the Administrator at or by calling 1-844-913-1257.

If you are filing electronic claims:

Electronic claim submission is available to institutions filing on their own behalf or on behalf of others as well as claim preparers filing on behalf of clients. Please click on the links below to obtain the mandatory electronic filing requirements and file layout.

  • Click here to download Electronic Filing Instructions
  • Click here to download the Proof of Claim Form.
  • Click here to download a properly formatted spreadsheet for submitting your transactions.
  • You may upload your master Proof of Claim Form and completed spreadsheet online here.