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Frequently Asked Questions and Answers WHICH EMPLOYEE STOCK TRANSACTIONS ARE ELIGIBLE? ESPP - Employee Stock Purchase Plan
ESOP - Employee Stock Ownership Plan
Employee Stock Options
WHICH EMPLOYEE STOCK TRANSACTIONS ARE NOT ELIGIBLE? Restricted Stock Awards Stock Bonus Plan Special Performance Award Plan
WHICH EMPLOYEE STOCK TRANSACTIONS ARE ELIGIBLE? ESPP - Employee Stock Purchase Plan 1. Who is eligible to file a claim for an Employee Stock Purchase Plan transaction? Employees who participated in the Employee Stock Purchase Plan are eligible to file a claim if they purchased shares through the plan during the relevant purchase period of January 14, 1999 to December 22, 2004, provided the shares were held for at least one day. If the employee has a trade for a buy and sale for the same share amount on the same day, that purchase is not eligible, e.g., cashless exercises with all cash back. If an employee had a cashless exercise with proceeds delivered in shares, the shares delivered would typically be eligible but not the shares sold to conduct the exercise. 2. What documentation is required to file a claim? Proof of purchases, sales, beginning share balance, and ending share balance must be submitted along with the Proof of Claim Form. Supporting documentation can include, but is not limited to, copies of broker account statements, broker trade confirmations, a signed letter from your broker on firm letterhead verifying the information you are providing, or other such documentation as is deemed adequate. Click on the Filing a Claim link to obtain a Proof of Claim Form. 3. What should I do if I no longer have the trade documentation? If you no longer have the trade documentation, such as a trade confirmation or a monthly account statement, please contact Fannie Mae's transfer agent, Computershare, at 1-800-910-8277 and request a screen print on company letterhead showing the trade detail. The representative you speak with at Computershare will have information on their Bulletin Board system regarding the Fannie Mae Settlement. If you prefer, you may also email fanniemaesec@computershare.com to request the trade detail. 4. What is the deadline for submitting a claim? All deadlines are now past. If you have questions about a claim, please call 1-800-760-6903. 5. I still have some questions. Who do I contact? If you have additional questions, you may:
ESOP - Employee Stock Ownership Plan 6. Who is eligible to file an Employee Stock Ownership Plan claim? Individual ESOP participants should not file a claim for shares held on their behalf within the ESOP. The ESOP will file on behalf of all participants. The ESOP administrator on behalf of the Plan is eligible to file a claim for any shares purchased within the ESOP Trust. Generally, this will consist of a claim for cash dividends received by the ESOP which the ESOP reinvested in additionally purchased shares. The plan administrator of the ESOP will then allocate to ESOP participants any settlement funds received, according to plan provisions. Note that annual contributions of shares into the ESOP from Fannie Mae do not qualify because those shares were not purchased. Only purchased shares qualify for the settlement. 7. I still have some questions. Who do I contact? If you have additional questions, you may:
Employee Stock Options 8. Who is eligible to file a Claim from purchases made through Employee Stock Options? Employees who purchased shares by exercising stock options during the relevant purchase period of January 14, 1999 to December 22, 2004 and who held those shares for at least one day are eligible to file claims. If an employee had a cashless exercise with proceeds delivered in shares, the shares delivered would typically be eligible but not the shares sold to conduct the exercise. Note that neither the date you were granted the option nor the date you exercised the option is relevant. The trade date of the resulting purchase of common stock is the relevant purchase date. 9. What documentation is required to file a claim? Proof of purchases, sales, beginning share balance, and ending share balance must be submitted along with the Proof of Claim Form. Supporting documentation can include, but is not limited to, copies of broker account statements, broker trade confirmations, a signed letter from your broker on firm letterhead verifying the information you are providing, or other such documentation as is deemed adequate. Click on the Filing a Claim link to obtain a Proof of Claim Form. 10. What should I do if I no longer have the trade documentation? If you no longer have the trade documentation such as a trade confirmation or a monthly account statement, please contact either your broker or UBS as follows: Documentation for employee stock options can be requested from:
11. What is the deadline for submitting a claim? The deadline to file a claim has past. If you have questions about a claim, please call 1-800-760-6903. 12. I still have some questions. Who do I contact? If you have additional questions, you may:
WHICH EMPLOYEE STOCK TRANSACTIONS ARE NOT ELIGIBLE? Restricted Stock Awards 13. Why are Restricted Stock awards ineligible? Shares acquired from the Restricted Stock awards program are not eligible purchases under the terms of this Settlement. To be eligible, shares must have been purchased by the claimant. 14. I still have some questions. Who do I contact? If you have additional questions, you may:
Stock Bonus Plan (within the ESPP Plus Plan) 15. Why are Stock Bonus Plan shares ineligible? Shares acquired from a Stock Bonus Plan as a component of compensation are not eligible purchases under the terms of this Settlement. To be eligible, shares must have been purchased by the claimant. 16. I still have some questions. Who do I contact? If you have additional questions, you may:
Special Performance Award Plan 17. Why are shares acquired from a Bonus or Special Performance Award Plan excluded? Shares acquired from a Special Performance Award as a component of compensation are not eligible purchases under the terms of this Settlement. To be eligible, shares must have been purchased by the claimant. 18. I still have some questions. Who do I contact? If you have additional questions, you may:
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