CLAIMANT INFORMATION


Claimant Names(s) (as the name(s) should appear on check, if eligible for payment; if the shares are jointly owned, the names of all beneficial owners must be provided):
Name of Person the Claims Administrator Should Contact Regarding This Claim Form (Must Be Provided):

SCHEDULE OF TRANSACTIONS IN CYTRX COMMON STOCK


1. BEGINNING HOLDINGS – State the total number of shares of CytRx Common Stock held as of the opening of trading on September 12, 2014. (Must be documented.) If none, write “0.”



2. PURCHASES/ACQUISITIONS DURING THE SETTLEMENT CLASS PERIOD - Separately list each and every purchase/acquisition (including free receipts) of CytRx Common Stock from after the opening of trading on September 12, 2014, through and including the close of trading on July 11, 2016. (Must be documented.)


Date of Purchase/Acquisition Number of Shares Purchased/Acquired Purchase/Acquisition Price Per Share Total Purchase/Acquisition Price (excluding taxes, commissions and fees) Confirm Proof of Purchase/Acquisition Enclosed  

3. PURCHASES/ACQUISITIONS DURING THE 90-DAY LOOK-BACK PERIOD – State the total number of shares of CytRx Common Stock purchased/acquired (including free receipts) from after the opening of trading on July 12, 2016, through and including the close of trading on October 7, 2016. If none, write “0.”



4. SALES DURING THE SETTLEMENT CLASS PERIOD AND DURING THE 90-DAY LOOK-BACK PERIOD – Separately list each and every sale/disposition (including free deliveries) of CytRx Common Stock from after the opening of trading on September 12, 2014, through and including the close of trading on October 7, 2016. (Must be documented.)


Date of Sale Number of Shares Sold Sales Price Per Share Total Sales Price (excluding taxes, commissions and fees) Confirm Proof of Sale Enclosed  

5. ENDING HOLDINGS – STATE THE TOTAL NUMBER OF SHARES OF CYTRX COMMON STOCK HELD AS OF THE CLOSE OF TRADING ON OCTOBER 7, 2016. (MUST BE DOCUMENTED.) IF NONE, WRITE “0.”






Please note: Information requested with respect to your purchases/acquisitions of CytRx Common Stock from after the opening of trading on July 12, 2016, through and including the close of trading on October 7, 2016, is needed in order to balance your claim; purchases/acquisitions during this period, however, are not eligible under the Settlement and will not be used for purposes of calculating your Recognized Claim pursuant to the Plan of Allocation.

SCHEDULE OF TRANSACTIONS IN CYTRX CALL OPTIONS



1. BEGINNING HOLDINGS - Separately list all positions in CytRx Call Option contracts in which you had an open interest as of the opening of trading on September 12, 2014. (Must be documented.)


Strike Price Of Call Option Contract Expiration Date of Call Option Contract Number Of Call Option Contracts in Which You Had an Open Interest  

2. PURCHASES/ACQUISITIONS OF CYTRX CALL OPTIONS - Separately list each and every purchase/acquisition (including free receipts) of CytRx Call Option contracts from after the opening of trading on September 12, 2014, through and including the expiration date of any CytRx call option contracts that you held long as of the close of trading on July 11, 2016. (Must be documented.)


Date of Purchase/Acquisition Strike Price Of Call Option Contract Expiration Date of Call Option Contract Number Of Call Option Contracts Purchased/Acquired Purchase Acquisition Price Per Call Option Contract Total Purchase/Acquisition Price Type an “E” if Exercised “X” if Expired Exercise Date  

3. SALES OF CYTRX CALL OPTIONS - Separately list each and every sale/disposition (including free deliveries) of CytRx Call Option contracts from after the opening of trading on September 12, 2014, through and including the expiration date of any CytRx Call Option contracts that you held long as of the close of trading on July 11, 2016. (Must be documented.)


Date of Sale Strike Price Of Call Option Contract Expiration Date of Call Option Contract Number Of Call Option Contracts Sold Sale Price Per Call Option Contract Total Sale Price  

4. ENDING HOLDINGS - Separately list all positions in CytRx Call Option contracts that you held long as of the close of trading on July 11, 2016 in which you had an open interest as of the expiration date. (Must be documented.)


Strike Price Of Call Option Contract Expiration Date of Call Option Contract Number Of Call Option Contracts in Which You Had an Open Interest  

SCHEDULE OF TRANSACTIONS IN CYTRX PUT OPTIONS



1. BEGINNING HOLDINGS - – Separately list all positions in CytRx Put Option contracts in which you had an open interest as of the opening of trading on September 12, 2014. (Must be documented.)


Strike Price Of Put Option Contract Expiration Date of Put Option Contract Number Of Put Option Contracts in Which You Had an Open Interest  

2. SALES (WRITING) OF CYTRX PUT - Separately list each and every sale (writing) (including free deliveries) of CytRx Put Option contracts from after the opening of trading on September 12, 2014, through and including the expiration date of any CytRx Put Option contracts that you held a short position in as of the close of trading on July 11, 2016. (Must be documented.)


Date of Sale Strike Price Of Put Option Contract Expiration Date of Put Option Contract Number Of Put Option Contracts Sold Sales Price Per Put Option Contract Total Sales Price Select an “E” if Exercised “X” if Expired Exercise Date  

3. PURCHASES/ACQUISITIONS OF CYTRX PUT OPTIONS - Separately list each and every purchase/acquisition (including free receipts) of CytRx Put Option contracts from after the opening of trading on September 12, 2014, through and including the expiration date of any CytRx Put Option contracts that you held a short position in as of the close of trading on July 11, 2016. (Must be documented.)


Date of Purchase Strike Price Of Put Option Contract Expiration Date of Put Option Contract Number of Put Option Contracts Purchased/Acquired Purchase/Acquisition Price Per Put Option Contract Total Purchase/Acquisition Price (excluding taxes, commissions, and fees)  

4. ENDING HOLDINGS - – Separately list all positions in CytRx Put Option contracts that you had a short position in as of the close of trading on July 11, 2016.in which you had an open interest as of the expiration date. (Must be documented.)


Strike Price Of Put Option Contract Expiration Date of Put Option Contract Number Of Put Option Contracts in Which You Had an Open Interest  

SUPPORTING DOCUMENT UPLOADS


All supporting documentation for your positions and transactions should be uploaded to this page prior to moving on to the next step in your online claim submission.

Please use the browse option, by clicking on “Choose Files” in the box below, to upload your supporting documentation being submitted to verify all of your positions and transactions.




Your Uploaded Files Action

RELEASE OF CLAIMS AND SIGNATURE


I (we) hereby acknowledge that as of the Effective Date of the Settlement, pursuant to the terms set forth in the Stipulation, I (we), on behalf of myself (ourselves) and my (our) heirs, executors, administrators, predecessors, successors, affiliates and assigns, shall be deemed to have, and by operation of law and of the Judgment shall have, fully, finally and forever compromised, settled, released, resolved, relinquished, waived, discharged and dismissed each and every Released Plaintiffs’ Claim against each and all of the Released Defendants (as defined in the Stipulation and in the Notice) and shall forever be barred and enjoined from prosecuting any or all of the Released Plaintiffs’ Claims against any of the Released Defendants.

Lead Plaintiff and Defendants shall expressly waive and each of the other Settlement Class Members and each of the Defendants’ Releasees shall be deemed to have, and by operation of the Judgment or the Alternate Judgment, if applicable, shall have, expressly waived any and all provisions, rights, and benefits conferred by any law of any state or territory of the United States or any foreign country, or any principle of common law or foreign law, which is similar, comparable or equivalent in substance to California Civil Code § 1542. Lead Plaintiff, any other Settlement Class Member, Defendants and each of the Defendants’ Releasees may hereafter discover facts in addition to or different from those which such party now knows or believes to be true with respect to the Released Claims, but the Parties stipulated and agreed that, upon the Effective Date of the Settlement, Lead Plaintiff and each of the Defendants shall expressly waive and release, and each Settlement Class Member and Defendants’ Releasees shall be deemed to have, and by operation of the Judgment or the Alternate Judgment, if applicable, shall have, fully, finally, and forever expressly waived and released any and all Released Claims, without regard to the subsequent discovery or existence of such different or additional facts. Lead Plaintiff and each of the Defendants acknowledge, and the Settlement Class Members and the Defendants’ Releasees shall be deemed by operation of law and the Judgment or the Alternate Judgment, if applicable, to have acknowledged, that the foregoing waiver and release was separately bargained for and a key element of the Settlement of which this waiver and release are a part.

“Released Plaintiffs’ Claim(s)” means all claims, suits, actions, appeals, causes of action, damages (including, without limitation, compensatory, punitive, exemplary, rescissory, direct, consequential, or special damages, and restitution and disgorgement), demands, rights, debts, penalties, costs, expenses, fees, injunctive relief, attorneys’ fees, expert or consulting fees, prejudgment interest, indemnities, duties, liabilities, losses, or obligations of every nature and description whatsoever, whether known claims or Unknown Claims, whether or not concealed or hidden, fixed or contingent, direct or indirect, anticipated or unanticipated, whether legal, contractual, rescissory, statutory, or equitable in nature, whether arising under federal, state, common, or foreign law, that are based upon, arise from, or relate to: (a) the subject matter of, or any facts alleged in, the SAC (as defined in the Stipulation) and any other complaints filed in this Action; or (b) any facts that could have been alleged in the SAC or any other complaints filed in this Action and relate to the purchase or acquisition of CytRx Common Stock or CytRx Call Options, or sale of CytRx Put Options during the Settlement Class Period. Notwithstanding the foregoing, “Released Plaintiffs’ Claim(s)” does not include (i) any claims relating to the enforcement of the Settlement; (ii) claims asserted in the shareholder derivative action filed in the Delaware Court of Chancery, entitled Zyontz v. Kriegsman et al., Case No. 2017-0738-JRS; and (iii) any claims of any person or entity who or which submits a timely and valid request for exclusion that is accepted by the Court.

“Unknown claims” means any of the Released Plaintiffs’ Claims which Lead Plaintiff and/or any other Settlement Class Member does not know or suspect to exist in his, her or its favor at the time of the release of such claims, and any of the Released Defendants’ Claims which any Released Defendant does not know or suspect to exist in his, her, or its favor at the time of the release of such claims, which, if known by him, her or it, might have affected his, her or its settlement with and release of the Releasees, or might have affected his, her, or its decision(s) with respect to this settlement or decision not to object to this Settlement. With respect to any and all Released Claims, the parties stipulate and agree that, upon the Effective Date of the Settlement, Lead Plaintiff and Defendants shall expressly waive, and each of the other Settlement Class Members and each of the Defendants’ Releasees shall be deemed to have waived, and by operation of the Judgment or the Alternate Judgment, if applicable, shall have expressly waived the provisions, rights, and benefits of California Civil Code §1542, which provides:

A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor.

CERTIFICATION

By signing and submitting this Claim Form, the claimant(s) or the person(s) who represent(s) the claimant(s) agree(s) to the release above and certifies (certify) as follows:

1. That I (we) have read and understand the contents of the Notice and this Claim Form, including the Releases provided for in the Stipulation and Settlement and the terms of the Plan of Allocation

2. That the claimant(s) is a (are) Settlement Class Member(s), as defined in the Notice and in paragraph 2 on page 3 of this Claim Form, and is (are) not excluded from the Settlement Class by definition or pursuant to request as set forth in the Notice and in paragraph 3 on page 3 of this Claim Form;

3. That I (we) own(ed) the CytRx Common Stock and CytRx Call Options and had an interest in the CytRx Put Options identified in the Claim Form and have not assigned the claim against the Defendants to another, or that, in signing and submitting this Claim Form, I (we) have the authority to act on behalf of the owner(s) thereof;

4. That the claimant(s) has (have) not submitted any other claim covering the same purchases/acquisitions of CytRx Common Stock or CytRx Call Options, or sales of CytRx Put Options, and knows (know) of no other person having done so on the claimant’s (claimants’) behalf;

5. That the claimant(s) submit(s) to the jurisdiction of the Court with respect to claimant’s (claimants’) claim and for purposes of enforcing the Releases set forth herein;

6. That I (we) agree to furnish such additional information with respect to this Claim Form as Plaintiffs’ Counsel, the Claims Administrator or the Court may require;

7. That the claimant(s) waive(s) the right to trial by jury, to the extent it exists, and agree(s) to the Court’s summary disposition of the determination of the validity or amount of the claim made by this Claim Form;

8. That I (we) hereby warrant and represent that I (we) have not assigned or transferred or purported to assign or transfer, voluntarily or involuntarily, any claim released pursuant to the Release above or any other part or portion thereof;

9. That I (we) acknowledge that the claimant(s) will be bound by and subject to the terms of any judgment(s) that may be entered in the Action; and

10. That the claimant(s) is (are) NOT subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code because (a) the claimant(s) is (are) exempt from backup withholding or (b) the claimant(s) has (have) not been notified by the IRS that he/she/it is subject to backup withholding as a result of a failure to report all interest or dividends or (c) the IRS has notified the claimant(s) that he/she/it is no longer subject to backup withholding. If the IRS has notified the claimant(s) that he, she or it is subject to backup withholding, please strike out the language in the preceding sentence indicating that the claim is not subject to backup withholding in the certification above.



UNDER THE PENALTY OF PERJURY, I (WE) CERTIFY THAT ALL OF THE INFORMATION PROVIDED BY ME (US) ON THIS CLAIM FORM IS TRUE, CORRECT, AND COMPLETE, AND THAT THE DOCUMENTS SUBMITTED HEREWITH ARE TRUE AND CORRECT COPIES OF WHAT THEY PURPORT TO BE.
If Claimant is other than an individual, or is not the person completing this form, the following also must be provided.


ACCURATE CLAIMS PROCESSING TAKES A SIGNIFICANT AMOUNT OF TIME. THANK YOU FOR YOUR PATIENCE.

Reminder Checklist:

1. Please sign the above release and certification. If this Claim Form is being made on behalf of joint claimants, then both must sign.

2. Remember to attach only copies of acceptable supporting documentation as these documents will not be returned to you.

3. Please do not use red pen or highlighter on any portion of the Claim Form or any supporting documents.

4. Do not send original security certificates or documentation. These items cannot be returned to you by the Claims Administrator.

5. Keep copies of the completed Claim Form and documentation for your own records.

6. If you desire an acknowledgment of receipt of your claim form please send it Certified Mail, Return Receipt Requested.

7. If your address changes in the future, or if this Claim Form was sent to an old or incorrect address, please send the Claims Administrator written notification of your new address. If you change your name, please inform the Claims Administrator.

8. If you have any questions or concerns regarding your claim, please contact the Claims Administrator at the address below, by email at info@CytRxSecuritiesSettlement.com, or toll-free at 800-547-4406, or visit www.CytRxSecuritiesSettlement.com.


Please DO NOT call CytRx or any of the other Defendants or their counsel with questions regarding your claim.


You should be aware that it will take a significant amount of time to fully process all of the Claim Forms. Please be patient and notify the Claims Administrator of any change of address.





QUESTIONS? CALL 800-547-4406 OR VISIT WWW.CYTRXSECURITIESSETTLEMENT.COM
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