Frequently Asked Questions

  1. Why did I get the Notice?

    The purpose of the Plan Notice is to inform you that you may be eligible to share in the proceeds of the Elanco Animal Health Fair Fund. To be potentially eligible to share in the Elanco Animal Health Fair Fund, you must file a Claim Form in accordance with the steps set forth in the Plan Notice and in the Plan of Distribution (the “Plan”) approved by the Securities and Exchange Commission (“SEC” or “Commission”).

    A copy of the Notice can be found here.

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  2. Who is potentially eligible to participate in the Fair Fund?

    To qualify for a payment from the Elanco Animal Health Fair Fund, you must satisfy certain eligibility criteria that are described in detail in the Plan. The Plan can be found under the Important Documents page or on the Commission’s public website at www.sec.gov/enforcement-litigation/distributions-harmed-investors/elanco. You can also request a copy of the Plan by calling the Fund Administrator at 1-877-239-1876 or by emailing info@ElancoAnimalHealthFairFund.com. The eligibility criteria include the following:

    • Individuals and entities, or their lawful successors, who purchased or acquired The Elanco Animal Health Company common stock listed on a U.S. exchange and registered with the Commission and traded under the symbol ELAN (the “Security”) during the period between May 9, 2019, through May 6, 2020, inclusive, (“Relevant Period”). Your approved transactions must calculate to a Recognized Loss as calculated under the Plan and your Distribution Payment must equal or exceed $20.00.

    PLEASE NOTE: RECEIPT OF THE NOTICE DOES NOT MEAN THAT YOU ARE AN PRELIMINARY CLAIMANT AS THAT TERM IS DEFINED IN THE PLAN.

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  3. Who is excluded from participation in the Fair Fund?

    You are excluded from participation in the Elanco Animal Health Fair Fund if you are an Excluded Party as defined in the Plan, including:

    • The Respondent (“Elanco Animal Health Inc.”)

    • Present or former officers or directors of the Respondent or any assigns, creditors, heirs, distributees, spouses, parents, dependent children, or controlled entities of any of the foregoing Persons or entities

    • Any employee or former employee of the Respondent or any of its affiliates who has been terminated for cause or has otherwise resigned, in connection with the conduct described in the Order

    • Any firm, trust, corporation, officer, or other entity in which the Respondent has or had a controlling interest

    • The Fund Administrator, its employees, and those Persons assisting the Fund Administrator in its role as the Fund Administrator

    • Any purchaser or assignee of another Person’s right to obtain a recovery from the Fair Fund for value; provided, however, that this provision shall not be construed to exclude those Persons who obtained such a right by gift, inheritance, or devise

    The Recognized Loss incurred by a Preliminary Claimant shall be determined as set forth in the Plan. The methodology used to determine eligibility and calculate Distribution Payments is set forth in the Plan of Allocation attached to the Plan as Exhibit A.

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  4. Who is the Fund Administrator?

    On March 2, 2026, the Commission appointed Epiq Class Action & Claims Solutions, Inc. (“Epiq”) as the Fund Administrator.

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  5. What is the total amount of the Fair Fund?

    On November 12, 2024, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (the “Order”) against Elanco Animal Health Inc. (“Elanco”). In the Order, the Commission found that Elanco violated Securities Act Sections 17(a)(2) and (3) and Exchange Act Section 13(a) and Rules 12b-20, 13a-1, 13a-11, 13a-13, and 13a-15(a) thereunder. The Commission ordered Elanco to pay a $15,000,000.00 civil money penalty. The Commission also created a Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, to allow the penalty collected to be distributed to harmed investors (the “Fair Fund”). The Fair Fund consists of the $15,000,000.00 collected from Elanco.

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  6. What do I need to do to participate in the Fair Fund?

    To participate in the Fair Fund, you must timely submit a completed and signed Claim Form with supporting documents to:

    Elanco Animal Health Inc. Fair Fund
    Fund Administrator
    P.O. Box 2228
    Portland, OR 97208-2228

    A Claim Form was included with the Plan Notice and is available for download here. If you do not complete and timely submit a Claim Form, you will not be considered for eligibility to receive a Distribution Payment under the Plan.

    Claim forms may be submitted (I) By U.S. Mail to the case P.O. Box, (II) Through the online Claim portal, or (III) Via email to info@ElancoAnimalHealthFairFund.com.

    Mailed submissions must be postmarked on or before September 14, 2026. Online and email submissions must be received by 11:59 P.M. Pacific time on September 14, 2026, the “Claims Bar Date”.

    Please note that filing a Claim Form does not assure that you will share in the proceeds of the Fair Fund created in this matter. A Preliminary Claimant’s eligibility for a Distribution Payment under the Plan will be determined by the Fund Administrator in accordance with the Plan.

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  7. What is the Relevant Period?

    “Relevant Period” means the period of time between May 9, 2019, through May 6, 2020, inclusive.

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  8. What is considered acceptable/sufficient documentation to support my transactions on my Claim Form?

    You must document each transaction that you include on your Claim Form. Acceptable forms of supporting documentation include, but are not limited to:

    1. Trade confirmation slips from brokerage firms that list the security name, the name of the beneficial owner, the type of transaction, the date of the transaction, the number of shares, and the total amount of the transaction; or
    2. Monthly statements from brokerage firms that detail all activity within a month.

    Acceptable documentation must include the name of the owner or owners of the account for which you are filing a claim, the name of the broker through whom the security was traded, trade date, number of shares purchased, acquired and/or sold, and price paid (excluding brokers’ commissions, taxes, and fees).

    Acceptable documentation includes contract notes, brokers’ confirmation slips, account activity pages from brokers’ computer printouts (including the front page), or account activity pages from brokers’ monthly statements (including the front page), if those statements contain the required information. Letters from your broker are acceptable only if they are on the brokers’ letterhead and contain the required information listed above. Your own records or certificates DO NOT constitute acceptable documentation. We cannot pre-approve any documentation as acceptable without seeing it first.

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  9. Who should I contact to get the required supporting documentation to send in with my claim?

    Depending on how you acquired your investment in ELAN, you can generally obtain the necessary documentation to submit with a Claim Form from:

    1. your broker;
    2. your tax advisor; and/or
    3. the person/party from whom you purchased, or through whom you sold, the security.

    Acceptable supporting documentation must be included with your completed Claim Form, or your claim may be rejected.

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  10. The Claim Form requests an account number, where can I obtain this information?

    Most brokerage firms and financial institutions assign account numbers to your account for easier reference. This number is typically included in the statements you receive. Please include your account number on Part II of the Claim Form.

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  11. What is the deadline for submitting my Claim Form?

    Mailed submissions must be postmarked on or before September 14, 2026. Online and email submissions must be received by 11:59 P.M. Pacific time on September 14, 2026, the “Claims Bar Date”.

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  12. Will I be notified if my Claim Form is deficient?

    The Fund Administrator will provide a Claim Status Notice within 60 days of the Claims Bar Date to each Preliminary Claimant who has filed a deficient Claim Form with the Fund Administrator. The Claim Status Notice will provide to each Preliminary Claimant whose claim is deficient, in whole or in part, the reason(s) for the deficiency (e.g., failure to provide required information or documentation). In the event the claim is denied, in whole or in part, the Claim Status Notice will state the reason(s) for such denial. The Claim Status Notice will also notify the Preliminary Claimant of the opportunity to cure any deficiency, request reconsideration, or dispute the determination made by the Fund Administrator and provide instructions regarding what is required to do so.

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  13. How much money will I receive if my claim is approved?

    Until all claims have been fully processed, it is not possible to determine the amount of any individual payment because the amount will depend on a variety of factors, including the number of valid claims processed and the details of your specific investment(s). In order for a claim to be paid, the Distribution Payment must equal or exceed $20.00.

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  14. How will my information be protected?

    As a long-established firm, Epiq's electronic systems, software applications, and employee and operational protocols are all designed to protect and secure the case information provided to us. Further, Epiq is obligated to fulfill the security requirements mandated by the various court jurisdictions and governmental entities that oversee the various types of cases it administers.

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  15. How do I get information about my claim?

    You may contact the Fund Administrator for more information toll-free at 1-877-239-1876; via email Info@ElancoAnimalHealthFairFund.com; or by writing to Elanco Animal Health Inc. Fair Fund, Fund Administrator, P.O. Box 2228, Portland, OR 97208-2228.

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  16. What is the relevant CUSIP and ticker during the Relevant Period?

    The Ticker symbol for the Elanco Animal Health Inc. common stock on the U.S. exchange and registered with the Commission is ELAN. The CUSIP is 28414H103.

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