The Pilgrim Baxter Fair Fund Settlement has been completed in
accordance with the approved Plan of Distribution. No checks or wires will be issued and
any checks presented for payment will be returned by the bank.
This website will remain active to help answer any additional questions you may have.
The PBA Settlement Administrator
Welcome to the Pilgrim Baxter & Associates, Ltd. Settlement Website
This informational Website has been created to assist accountholders in their understanding of the settlements between the Securities and Exchange Commission (the "Commission") and:
- Pilgrim Baxter & Associates, Ltd. ("PBA"), Administrative Proceeding File No. 3-11524, dated June 21, 2004
- Gary L. Pilgrim, Administrative Proceeding File No. 3-11739, dated November 17, 2004
- Harold J. Baxter, Administrative Proceeding File No. 3-11740, dated November 17, 2004.
Pages have been created for each of the following categories:
Description of the Settlement
This page provides a brief history of the events leading up to the settlement as well as an overview of the settlement agreement.
Links to Related Documents
This page contains links to various documents issued by the Commission and other sources that can assist shareholders in their understanding of the settlement.
F.A.Q. (Frequently Asked Questions)
This page provides a series of responses to the most Frequently Asked Questions regarding the settlement, including links to additional information.
This page contains the link to the "Statement to Eligible Investors" (SEI) issued by the PBA Fair Fund, and information related to the "Allocation of Distribution Among PBHG Funds". These documents may assist shareholders and their tax advisors in determining their tax responsibilities related to the distributions.
This page provides a description of NRAs (Non-IRA Retirement Accounts) as well as series of responses to the most frequently asked questions regarding NRAs.
This page provides contact information for the Administrator of the Distribution Plan, the Independent Distribution Consultant and Old Mutual Advisors.