SEC v Andrew DeFrancesco Fair Fund

If you are a broker or other nominee who purchased or acquired Cool Holdings Inc. common stock (the “Security”) during the period between September 16, 2018 and October 26, 2018, inclusive, (“Relevant Period”), WITHIN FOURTEEN (14) CALENDAR DAYS OF YOUR RECEIPT OF THE PLAN NOTICE, YOU MUST EITHER:

1. Send a copy of the Plan Notice and the accompanying Claim Form by First-Class Mail to all such beneficials owners, or
2. Provide a list of the names and addresses of such beneficial owners to the Distribution Agent listed in Part VI of this Plan Notice.

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

1. Compile a list of names, addresses and email addressed (if available) of the beneficial owners who purchased and/or held shares of the security during the Relevant Period.
2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
3. Then do one of the following:
   
   
   1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:
      
      SEC v Andrew DeFrancesco Fair Fund
      Distribution Agent
      P.O. Box 5654
      Portland, OR 97228 - 5654
      
   2. Email the spreadsheet to info@secvandrewdefrancesco.com.
   3. Upload the spreadsheet here.

If you are mailing the Notice Packet to beneficial owners:

If you elect to mail the Plan Notice and Claim Form to beneficial owners yourself, additional copies of the Plan Notice and Claim Form may be requested via email to info@secvandrewdefrancesco.com. If you are providing the Plan Notice and Claim Form to beneficial owners, the mailing must be completed within fourteen (14) calendar days of your receipt of the Plan Notice and Claim Form from the Distribution Agent. You must provide email addresses to the Distribution Agent (to the extent they are available). You must also send a statement to the Distribution Agent confirming that the mailing was made as directed and keep a record of the names and mailing addresses used.

Failure to timely forward the Plan Notice and Claim Form to beneficial owners may affect their legal rights.

If you have any questions, contact the Distribution Agent at info@secvandrewdefrancesco.com or by calling 1-888-788-6473 (Toll-Free).

Expense Reimbursement:

You are entitled to reimbursement from the Fair Fund of your reasonable expenses actually incurred in connection with the foregoing, including reimbursement of postage expense and the cost of ascertaining the names and addresses of beneficial owners pursuant to the Distribution Plan. Those expenses will be paid upon request and submission of appropriate supporting documentation and timely compliance with the above directives and Distribution Plan.

All communications concerning the foregoing should be addressed to the Distribution Agent at:

If you are filing electronic claims:

A nominee may also submit a Claim Form on behalf of multiple clients who are beneficial owners by using the links below.

Click here to download the Claim Form.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Claim Form and completed spreadsheet online here.