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LAW OFFICES OF

MARVIN GABLE
P.O. Box 1630 NORTHAMPTON, MA 01061
(413) 268-6500 - PHONE 8c FAX
MARVINCABLE.COM

January 16, 2013

Berkshire Superior Court


7 6 East Street
Pittsfield, MA 01201

Re: Watkins v. Lamb, et al. - Filing of Complaint

Dear Gentlemen/Ladies:
Enclosed herewith for filing please find the following:

(a) Plaintiffs Complaint and Jury Demand;


(b) Civil Action Cover Sheet;
(c) Check in the $275.00 (filing fee, plus security fee, plus surcharge)

Thank you in advance for your cooperation.

;;=-#&
Marvin Cable I

Page 1of1
TRIAL COUIRT OF MASSACHUSETTS
CIVIL ACTION COVER SHEET SUPERIOR COURT DEPARTMENT
DOCKET NO.
COUNTY OF n c D Lc . < ; h i r p

PLAiNTIFF(S) David Watkins DEFENDANT(S) David 1Lamb; Vantage Press, Inc

Plaintiff Atty Marvin Cable Type Defendant's Attorney Name

Address PO Box 1630 Defendant Atty


Address

City Northampton 5{3tg MA Zip Code 01061


City State Zip Code

Te l . 4132686500 680968
BBO#

TYPE OF ACTION AND TRACK DESIGNATION (See reverse side)


CODE NO. TYPE OF ACTION (specify) TRACK IS THIS A JURY C ASF '

A99 Other (specify ) - Fast Tracii ® ] Yes Q N o

The folowing is a ful, itemized and detailed statement of the facts on which plaintif relies to determine ^
money damages. For this form, disregard double or treble damage claims; indicate single damages ohIn
TORT r T. AT M S

Documented medicalIexpenses
(Attach to
additional
date: sheets as necessary)
1. Total hospital expenses
2. Total doctor expenses $
3- T^tal chiropractic expenses $"
4. Total physical therapy expenses $"
5. Total other expenses (describe) $■

B. Documented lost, wages and compensation to date Subtotal


1 wiivi
Documented property damages tovuiiiucilditli $"
1 0 date
C. '
D. $"
E.
Reasonably anticipated future medical expenses $"
Reasonably anticipated lost wages and compensation to d a t e
F. Other documented items of damages (describe)
Brief description of plaintif=s injury, including nature and extent of injury (describe) $

To t a l $

C O N T R A C T C T AT M S
Provide a detmled description of "^essar,)
Defendants violated 93(a)§9 by failing to disclose significant material facts: Defendants'
financial situation; by misrepresenting Defendants' ability to fulfil promises made within the
c o n t r a c t ; b y c o m m m i t i n g c o m m o n l a w f r a u d . T O TA L $

Signature ofAttorney of Record . J)


A.O.S.C. 3-2007 Date: January 16,201 ^
LAW OFFICE OF MARVIN CABLE ATTY AT LAW 118
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NORTHAMPTON, MA 01060-2413
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Superior Court OF Massachusetts
Berkshire County

DAVID WATKINS,

Plaintiff,
V.

Case No:
DAVID LAMB,

VANTAGE PRESS, INC.,

Defendants.

COMPLAINT

Introduction

This lawsuit gives rise under Massachusetts Consumer Protection Act, G.L. c. 93A,

involving Defendants' deceptive business practices of not disclosing facts that w^ould

have influenced Plaintiff from not entering into an agreement vi^ith Defendants, and

Defendants' deceptive misrepresentation by not disclosing during contract negotiations

the low probability of successfully completing Defendants' obligations.

Parties

2, Plaintiff, David Watkins ("WATKINS"], is a author of poetry, with his home


address: 401 W Washington Street, St. James, MO 65559. (Affidavit of David Watkins,

dated November 12^'\ 2013 ("Watkin Aff"))

Page 1 of 11
3, Defendant, David Lamb ("LAMB"), is the President, Vice-President, Treasurer,
Secretary, Director, registered agent of Vantage Press, Inc., and is believed to reside at

222 Division Street, Great Barrington, MA, 01230.

4", Defendant, Vantage Press, Inc. ("VANTAGE"), is a registered foreign corporation


pursuant M.G.L. c. 156D § 15.03; 950 CMR 113.48, organized under the laws of New

York, transacting business at 271 Main Street, Suite 3, Great Barrington, MA, 01230.

Statement of Facts

5, Beginning on February 2012, contract negotiations occurred between WATKINS


and VANTAGE. (Watkins Aff., H 2.)

The negotiations began after WATKINS responded to one of VANTAGE'S

advertisements, as seen by WATKINS in a magazine. (Watkins Aff, T[ 3; Ex. A. (Magazine

Advertisement.))

J _ VANTAGE marketed the services of 'vanity publishing' in its advertisements. The


advertisement targeted authors wishing to have their literary works published in

exchangeo
frae
fe.WATKN
I Swasnie
trese
tdni VANTAGES
' servciessohedecdiedo
tj
contact them by phone. (Watkins Aff., If 3.) .
fI

P WATKINS negotiated with a representative of VANTAGE via a phone conversation. i


?

After the phone negota


i to
i ns, WATKINS recevied marketn
i g matera
i sl from VANTAGE |
via post mail. (Ex. B. (Letter: First Written Communication from Vantage.))

Page 2 of 11
9.WATKINSreve
i wedthesematera
isl,thencae
l dVANTAGEagan
i tonegoa
titefor|
its services. (Watkins Aff., ^ 4.)

10. On April 4, 2012, based on representations made during these negotiations, i


vantage's Vice President of Author Relations, Selina Peyser, memorialized an

agreementni amemorandumandsentWATKN
I Sacopyvai postma.li(Ex.C|
(MemorandumandAgreementro
fmVana
tge);.Ex.D.(Execue
tdAgreemen).t| f

11 _ This memorandum (Ex C; Ex. D.) provided the specific details of the agreement
between WATKINS and VANTAGE, and detailed WATKINS's payment of $9,450.00 in

return for VANTAGE'S services. These services included VANTAGE'S publication of

Work in book-bound form, as well as making the book form available on 'market-

leading e-book platforms,' in addition to VANTAGE'S copy-editing, and registering the ^


copyright to Work. Furthermore, the memorandum stated that VANTAGE'S services

would be done within a specific period of time, specifically, the production value of

Work would be completed within a year of WATKINS's payment of his fee to VANTAGE.

(/£/.; Watkins Aff, If 5.)

12 ^ WATKINS then contemplated the terms of the memorandum. In reliance upon Ms.
Peyser's verbal and written representations on behalf of VANTAGE, WATKINS signed a

copy of the memorandum agreement. (Ex. D.) He mailed the executed agreement, along

with a check for $9,450.00, made out to "VANTAGE Press". (Watkins Aff., If 6; Ex. E.

(Check to VANTAGE.))

Page 3 of 11
13 ^ WATKINS also provided a letter along with the agreement and check. In the letter,
he expressed his belief that "in good-faith VANTAGE press will carry through [the

agreement]." (Ex. F. (Cover Letter to Vantage.)] He also expressed his hesitation in

entering into the contract with VANTAGE, writing, "you probably can't imagine how

nervous I am [to enter into this contract]." (Id.)

^4,^ weeks after WATKINS tendered VANTAGE his monetary payment,


WATKINS received a response from LAMB, President of VANTAGE expressing that

the company had received his money and his signed agreement. (Ex. I. (Letter from

LAMB.))

^5. lamb's letter to WATKINS, no mention of VANTAGE'S history of financial


duress was made. {Id.) Moreover, LAMB expressed his confidence in VANTAGE

personnel's' ability to satisfy the promises made to WATKINS in its initial agreement

with him. LAMB wrote to WATKINS that VANTAGE would "do our best to live up to

your expectations." [Id.) LAMB even went on to write that if Mr. WATKINS had

"specific concerns or questions" to contact him "personally." (/d.) Once again,

however, no mention was made to WATKINS of VANTAGE'S financial woes, nor of

the likely possibility of its inability to perform the promises made on behalf of

VANTAGE in its initial agreement with WATKINS. [Id.)

16. Internally, VANTAGE was struggling, financially-speaking (Ex. G. (Letter from


lamb's Attorney.)); and, VANTAGE was fully aware of these limiting issues. [Id.)

Internally, since at least 2010, VANTAGE had been instituting drastic measures to

Page 4 of 11
combat its financial situation. ^ [Id.]

Though vantage's financial situation provided a real likelihood that VANTAGE

may not have been able to fulfill its obligations to WATKINS as outlined in the

agreement, VANTAGE'S financial situation v\/as never relayed to WATKINS during

negotiations with him; had VANTAGE accurately disclosed to WATKINS about

vantage's financial situation, the disclosure would have prompted WATKINS to

reconsider entering into contract negotiations with VANTAGE. (Ex. H. (Letter:

WATKIN's Response to Letter from LAMB's Attorney.]) 2

Meanwhile, during the several months that passed since he sent them his money

and signed agreement, WATKINS made preparations for his Work's imminent

publication, including notifying local bookstores, magazine editors, etc. of its

Excerpt from Ex. G. [highlighting added):


I n r e c e n t y e a r s . Va n t a g e P r e s s , I n c . r e p o r t s t h a t i t h a s
responded to the dramatic changes to its business as the
publishing industry, which had been entirely paper-based, moved
to electronic transmission. Under new management in 2010, the
Corporation worked to improve the appeal of its products and
i n t r o d u c e d e l e c t r o n i c p r o d u c t s . T h e C o r p o r a t i o n , h o w e v e r,
c o n t i n u e d t o e x p e r i e n c e a t i g h t e n i n g o f c a s h fl o w r e s u l t i n g , i n
part, from declining sales and increased competition. In
response to these circumstances, we understand that management
took steps to reduce operating expenses, to improve the
e f fi c i e n c y o f i t s o p e r a t i o n s , t o i n v e s t i n n e w m a r k e t i n g
strategies, and to seek capital contributions from new
i n v e s t o r s . U n f o r t u n a t e l y, t h e s t e p s t a k e n t o i m p r o v e t h e
C o r p o r a t i o n ' s fi n a n c i a l p o s i t i o n w e r e n o t s u c c e s s f u l .

2 Excerpt from Ex. H. [highlighting added):

According to your letter dated Dec 19,2012 Vantage Press was in financial trouble in 2010 but
continued to take the money of trusting customers such as myself making promises they are, as
you say, unable to ftilfill.

Page 5 of 11
publication date. (Watkins Aff., 1[ 11.)^

19, WATKINS grew curious of the status of services promised by VANTAGE in the
agreement. (Watkins Aff., Tf 12.) He made numerous phone calls to VANTAGE regarding

the status of the Work's publication. (W.) VANTAGE representatives did not return

any of WATKINS' phone calls to the company, (/d.) There was little to no indication

made to WATKINS that VANTAGE had actually performed any ofthe services promised to

him. [Id.)

20, conversation WATKINS had with a VANTAGE representative was in


November 2012, with Sharon Pellitier. (Watkins Aff., Tf 13.) She assured WATKINS, via

phone, that, per the agreement, the Work would be ready for publication on time,

specifically, in April 2013. (M) Again, during her phone call with WATKINS, there

was no mention by Ms. Pellitier ofVANTAGE's present direfinancialsituation, (/c/.)

21, On December 19, 2012, a letter from Attorney Collins, addressed to WATKINS,
advised WATKINS that VANTAGE had "ceased all business operations" on account of its

financial hardships (Watkins Aff., 14; Ex. G.); this communication occurred only a few

3 Excerpt from Ex. H. [highlighting added):


the time they were, unable to provide. By promising to produce my book then having your
attorney write the enclosed letter is fraud, in fact in November, 2012 Vantage Press assured me
that my contract was being fulfilled and would be completed in April, 2013 as promised and that
I had nothing to worry about. 1 relied on this un-true statement. I notified local book stores and a
magazine editor.
Vantage Press has taken my work, breeched the contract and shared my work with others while
holding me to a contract that restricted me for seven months from doing business with a
legitimate company.

Page 6 of 11
weeks after WATKINS' last conversation with VANTAGE, (/c/.)

wrote back to Attorney Collins demanding VANTAGE fulfill their

contract. (Ex. H.)

23. January 14, 2013, Attorney Collins wrote back to WATKINS, stating that
he does not represent VANTAGE, he represents LAMB, yet does VANTAGE'S

bidding. (Ex. J. (Letter from LAMB's Attorney.))'*

24. Attached to the January 14"^ letter, though claiming he does not represent
VANTAGE, lamb's attorney provides WATKINS a settlement agreement. [Id.] Note: the

agreement is made on VANTAGE'S letterhead. (M).

25. The settlement offer is one paragraph in length, and suggests that VANTAGE has

4 Excerpt from Ex. 1. [highlighting added):


Dear Sir/Madam;

This letter follows our December 19, 2012 correspondence. As an


initial matter, we note that some creditors have been uncertain
r e g a r d i n g t h i s o f fi c e ' s r e p r e s e n t a t i o n . P l e a s e b e a d v i s e d t h a t
t h i s o f fi c e r e p r e s e n t s t h e m a n a g e m e n t o f V a n t a g e P r e s s , I n c . ;
s p e c i fi c a l l y , i t s P r e s i d e n t , D a v i d L a m b . T h i s o f fi c e d o e s n o t
represent the corporation.

In any event, our client has asked us to forward the enclosed


information sheet, together with a form of Assignment and
Release, to you. If the Assignment and Release is acceptable to
y o u , p l e a s e s i g n a n d r e t u r n i t t o t h i s o f fi c e . I f y o u h a v e a n y
guestions regarding the enclosed form, we encourage you to
consult with your own counsel. All fully executed Assignment
and Release forms received by January 31, 2013 will be forwarded
to the President of the corporation for processing.

Page 7 of 11
rights to WATKINS poetry. ^ The settlement offer is nowhere near the actual loss

WATKINS suffered. [ Watkins Aff., 16.)

26. WATKINS has experienced a loss of $9,450.00, plus other expenses. These
expenses include, but are not limited to, legal fees incurred by this firm. [Id.]. WATKINS

has also experienced a loss of financial opportunity in regards to monetizing and

publishing his poetry. [Id.)

Cause of Action
Count 1: Violation of G.L. c. 93A

2*7, All allegations in paragraphs above are re-alleged and incorporated herein by
reference.

28. LAMB used the corporate entity, VANTAGE, as a vehicle to make money for
personal gain, and used VANTAGE as a shield from personal liability.

5 Excerpt from Ex. J [highlighting added):

Vantage Press, Inc. ("Vantage") hereby releases and assigns to


( " A u t h o r " ) a l l r i g h t s Va n t a g e m a y h a v e r e l a t i n g t o *
(the "Work"), including any printed copies held by any third party. In consideration thereof, the
receipt of which is hereby acknowledged, Author hereby irrevocably releases and discharges
Vantage from ail debts, claims, actions, demands, causes of action, suits, accounts, covenants,
contracts, agreements, damages, and any and all claims, demands and liabilities whatsoever of
every name and nature, both in law and in equity, that Author holds against Vantage, its affiliates,
agents, attorneys, officers, directors, and employees, expressly including claims for royalties now
owed, earned, or as may be earned in future sales, up to and including the date of this Agreement.

Page 8 of 11
29. At all relevant times hereto the defendants were engaged in trade or commerce
within the meaning of M.G.L. c. 93A §2.

30. During contract negotiations, VANTAGE/LAMB failed to disclose its financial


situation. This failure violated M.G.L. C.93A, s.9: "Regulation of Business Practices for

Consumers' Protection".

31. During contract negotiations, VANTAGE/LAMB misrepresented its ability to fulfill


promises made within the contract. The misrepresentation occurred because of

vantage's failure to disclose its financial situation. This failure also violated M.G.L. c.

93A, s.9.

32. Also, during contract negotiations, because VANTAGE/LAMB failed to both


disclose and represent material facts, e.g. VANTAGE'S likely inability to perform the

services so contracted, the formation of a contract never truly occurred.

3 3, After a contract purportedly was formed, VANTAGE/LAMB stil did not disclose its
financial situation, nor its likely inability to fulfill its side of the contract Indeed,

VANTAGE eventually disclosed its financial situation, but only after it had ceased all

business operations.

34. Not disclosing a fact which may influence party from entering into an agreement is
considered a deceptive business practice and is also a violation of M.G.L C.93A, s. 9

Page 9 of 11
and 940 C.M.R § 3.16(2). See e.g., York v. Sullivan, 369 Mass. 157 (1975); Greenfield

Country Estates Tenants Ass'n v. Deep, 423 Mass. 8 1, 84 (1996); Commonwealth v.

DeCotis, 366 Mass. 234 (1974). Furthermore, a party's deceptive misrepresentation of

its ability to perform services during contract during negotiations is also violation of

M.G.L. C.93A, s. 9 and 940 C.M.R § 3.16(2). Id.

35. Lastly, besides its failure to disclose and represent material facts, VANTAGE/LAMB
also committed common law fraud.

36. A formal demand letter from Marvin Cable, Attorney for the WATKINS, was sent
pursuant to Massachusetts General Laws (M.G.L.) Chapter (c.) 93A, Section (s.) 9 on May

3, 2013, and was delivered to LAMB's attorney and home address on May 18. 2013.

VANTAGE/LAMB has not responded to the demand letter. (Ex. K. (Demand Letter.))

Demand for Relief

WHEREFORE, the plaintiff requests that the court:

(a) Enter judgment for plaintiff against defendants, jointly and severally;

(b) Award damages to plaintiff in an amount to be determined by the court;

(c) Treble such amount as provided by G.L. c. 93A §9(3);

(d) Award interest, costs, and attorney's fees to the plaintiff; and

(e) Award such other relief as this Court deems just and proper.

PLAINTIFF CLAIMS TRIAL BY JURY


AS TO ALL CLAIMS SO TRIABLE.

Page 10 of 11
Respectfully submitted by Plaintiffs

Marvin Cable
BBO#: 680968
L a w O f fi c e s O f M a r v i n C a b l e
P. O . B o x 1 6 3 0

Northampton, MA 01061
E: law@marvincable.com
P; (413] 268-6500
F: (8883 691-9850
AT T O R N E Y F O R P L A I N T I F F

Page 11 of 11
SUPERIOR COURT OF MASSACHUSETTS
BERKSHIRE COUNTY

DAVID WATKINS,

Plaintiff,
v.
Case No.: _ _ __
DAVID LAMB,

VANTAGE PRESS, INC.,

Defendants.

AFFIDAVIT OF DAVID WATKINS

I, David Watkins, being duly sworn do depose and say:

1. I am an author of poetry, with a home address: 401 W Washington Street, St. James,
MO 65559.

2. Beginning from February 2012, contract negotiations occurred between Vantage


Press, Inc. ("Van tage") and myself. During such time, no single mention, nor accurate
representation, was made by Vantage about its dire financial situation and its likely
inability to perform services as promised.

3. The negotiations began after I responded to one of Vantage's advertisements, as


seen in a magazine. Vantage marketed the services of "vanity publishing" in its
advertisements. The advertisement targeted authors wishing to have their literary
works published in exchange for a fee. I was interested in Vantage's services and
decided to contact them by phone.

4. I negotiated with a representative of Vantage via a phone conversation. After the


phone negotiations, I received marketing materials from Vantage via post mail. I
reviewed these materials, then called Vantage again to negotiate for its services.

Page I of 4
5. On April 4, 2012, based on representations made during these negotiations, Vantage
Vice President of Author Relations Selina Peyser memorialized an agreement in a
memorandum. This memorandum provided the specific details of the agreement
between Vantage and myself, and detailed my payment of $9,450.00 in return for
Vantage's services. These services included Vantage's publication of Work in book-
bound form, as well as making the book form available on "market-leading e-book
platforms," in addition to Vantage's copy-editing, and registering the copyright, to
Work. Furthermore, the memorandum stated that Vantage's services would be done
within a specific period of time, specifically, the production value of Work would be
completed within a year of my payment of my fee to Vantage.

6. In reliance upon Ms. Peyser's verbal and written representations on behalf of


Vantage, I signed a copy of the memorandum agreement. I mailed the executed
agreement, along with a check for $9,450.00, made out to "Vantage Press".

7. I also provided a letter along with the agreement and check. In the letter, he
expressed my belief that "in good-faith .... Vantage press will carry through [the
agreement]. " I also expressed my hesitation in entering into the contract with
Vantage, writing, "you probably can't imagine how nervous I am [to enter into this
contract]."

8. Vantage had been undergoing financial issues, which, had they been accurately
disclosed to me, would have prompted me to reconsider entering into contract
negotiations with Vantage

9. Even after contract negotiations were completed, assuming arguendo a contract was
formed, Vantage still did not disclose it's financial limitations to me.

10. A few weeks after I tendered Vantage monetary payment, I received a response
from David Lamb, President of Vantage, (hereafter "Lamb") expressing that Vantage
had received th e money and he counter-executed the agreement. In Lamb's letter to
myself, no mention of Vantage's history of duress was made. Moreover, Lamb
expressed his confidence in Vantage personnel's ability to satisfy the promises made
to me in its initial agreement with myself. Lamb wrote to me that Vantage would "do
our best to live up to your expectations". Lamb even went on to write that if I had
"specific concerns or questions" to contact him "personally". Once again, however,
no mention w as made of Vantage's financial woes, nor of the likely possibility of its
inability to perform the promises made on behalf of Vantage in the initial
agreement.

11. Meanwhile, I made preparations for Work's imminent publication, including


notifying local bookstores, magazine editors, etc. of its publication date.

12. After several months passed, I grew curious of the status of services promised by
Vantage in the agreement. I made numerous phone calls to Vantage regarding the
status of Work's publication. Vantage representatives initially responded to my

Page 2 of 4
inquiries but eventually stopped returning my phone calls. Further, there was little
to no indication made that Vantage had actually performed any of the services
promised to me.

13. The last conversation I had with a Vantage representative was in November 2012,
with Sharon Pellitier. She assured me, via phone, that, per the agreement, the Work
would be ready for publication on time, specifically, in April 2013. Again, during her
phone call with me, there was no mention by Ms. Pellitier of Vantage's present dire
financial situation.

14. On December 19, 2012, a letter from Attorney Joseph 8. Collins, of Springfield, MA,
and addressed to myself, advised me that Vantage had "ceased all business
operations" on account of its financial hardships. This communication occurred only
a few weeks after my last conversation with Vantage.

15. Contrary to the prior representations made by Vantage and its agents, there was
little chance that my contract could ever, or would ever, be successfully completed
per the terms of the initial agreement with Vantage.

16.1 experienced a loss of $9,4500.00, plus other expenses. These expenses include, but
are not limited to, legal fees incurred. I also experienced a loss of financial
opportunity in regards to monetizing and publishing Work.

17. To conclude: Vantage misrepresented its ability to fulfill promises made within our
contract. The misrepresentation occurred because of Vantage's failure to disclose its
financial situation. Also, during contract negotiations, because Vantage failed to
both disclose and represent material facts. After a contract purportedly was formed,
Vantage still did not disclose its financial situation, nor its likely inability to fulfill its
side of the contract. Indeed, Vantage eventually disclosed its financial situation, but
only after it had ceased all business operations.

Page 3 of 4
I, , sign the foregoing instrument under

the pains and penalties of perjury this ~day of /l/ov '20 /J .

'I foregoing instrument was acknowledge<! by_me this J;2 '" day of
'4v 111 , 20 LL by: hv;d IJ ~Ii, n s who is ~rsont\Uy
known by me or who has produced:
------ as identification .

Notary's Seal & Signature:


State of Notary 's Commission

~PrintedcNameOfoary
~'.'l
Of/69boll/
Not~ 's Expiration

Notary Identification Number (optional.)

Page4 of4
Index of Exhibits

Exhibit A Magazine Advertisement


Exhibit B Letter: First Written Communication from Vantage
Exhibit C Memorandum and Agreement from Vantage
Exhibit D Executed Agreement
Exhibit E Check to VANTAGE
Exhibit F Cover Letter to Vantage
Exhibit G Letter from LAMB's Attorney
Exhibit H Letter: WATKIN's Response to Letter from LAMB's
Attorney
Exhibit I Letter from LAMB
Exhibit J Letter from LAMB's Attorney
Exhibit K Demand Letter
Exhibit A
Magazine Advertisement
AUTHORS WANTED
Leading subsidy book publisher seel<S manliscripts.
Action, non-fiction, poetry, juvenHe, reffgious, etc. New
authors welcomed. For free 32·page illustrated
guide-book TD·72 cal1·800·821-3990 orwriteto
Vantage Plus, 419 P8lk Ave S., New York, NY 10016
Exhibit B
Letter: First Written Communication from Vantage
, , VANTAGE Press
Dear Author:

Thank you for yovr recent inquiry about Vantage Press! We are pleased to send you our new
brochure describing our full-service, fee-based publishing service. This guide uses an alphabetic
format to illustrate the intricacies of the publishing business and the advantages of the Vantage
Press approach . We hope the guide answers all of the questions you may have as you conside r
publishing your work - we welcome your feedback on the guide and on any aspect of our service.
Additional information and an electronic submissions page are available at Vantage Press.com.

When you place your book with Vantage Press, you will be joining over 20 1 000 writers who have
entrusted their work to us since 1949. Many of these authors have returned to Vantage with thei r
second and third books as well. Such satisfaction could only have been achieved by giving authors
ca reful personal attention and efficient ser1ice 1 and you may expect the same. With our full-serv ice
approach, you may be assured of professioncil assistance from our full-time staff every step of the
way, through editing, proofs, design, printing, promotion, and sales.

Vantage Press is seeking submissions In all genres: fiction, memoir, history, poetry, religious, and
children's, to name a few. We have experience in a wide range of subjects . We have published
authors from more than 50 countries around the world, and from all walks of life .

If you are seriously interested in seeing your work in print (and as an ebook), and wish to have us
examine it free of charge, simply slip your material into the enclosed manuscript envelope and mail
it to us. (Better yet, email it to us at submissions@vantagepress .com .) Within three or four week s
after receiving your material we will let you know if we would like to add your work to our list of
approximately 600 titles in print. If we do so, we will send a detailed agreement setting out
precisely the steps we will take in publishing your book.

Please note that we do charge a fee for our publishing services . The amou nt of the fee depend s
upon the costs associated with your particular work. The fee will cover all Vantage services: cop y-
editing, typesetting and layout, cover design, proofreading, printing, ebook distribution, and
publicity and promotion. Vantage Books are available to the entire book trade, including online
retailers such as Amazon and BarnesandNoble .com. And, you never have to pay for reprints :
Vantage pays to reprint your book as long as it is se lling well in the trade.

After reading the guid e or having a look at our new website, vantagepress.com, if you think the
Vantage Press publishi ng program may be appropriate for you and your work, please send us a
copy of your manuscript (in confidence and with no obligation, of course) . We will review it and be
back in touch within a month.

Sincerely yours,

The Publishing Team at Vantage Press

Vantage Press, Inc. I 419 Park Avenue South I New York NY 10016 I Tel 212.736.1767 I Fax 212.736.2273

listablished 1949
Exhibit C
Memorandum and Agreement from Vantage
, , VANTAGE Press

April 51 2012

David Wayne Watkins


401 W. Washington Street
Saint James MO 65559

Dear Mr. Watkins:

It was a pleasure speaking with you again yesterday and we are all looking forward to working together
toward publication of you r collection. Based on our conversation the language of Section 11 of the
agreement has been changed to clearly reflect distribution through our exclusive distributor Ingram
Publisher Services.

Please don't hesitate to contact me with any other questions you might have!

Vice President of Author Relations


(212) 736-1767 X102
speyser@vantagepress.com

' ..
Vantage Press, Inc. I 419 Park Avenue South I New York NY 10016 I Tel 212.736.1767 I Fax 212.736.2273 I vantagepress.com f;
·~
'
'· ,,. ~

f.'stalilislied / 9rf<J
~» VANTAGEPress
Vantage Press Services Guide
Every Vantage author enjoys complete publishing services. We offer by far the
highest quality and most comprehensive package for one inclusive price.
• Preparation of your manuscriptfor editing, including keyboarding if necessary
• Thorough copyediting to correct grammar, spelling, and punctuation, with more intensive editing also
available - you review and approve au edits to your book. (Unlike many author services companies our
seasoned editors are based in the U.S.)
• Top-of-the-line covers and interiors designed according to your concept, including your author photo
and biography - you approve the final cover and layout
• Interior layout of footnotes, endnotes, citations f;lnd quotations
• Arrangementand editing of dedication, acknowledgements, forewords, epilogues, and other
customary 'front matter' and 'back matter' texts
• Layout of your black and white or color photographs or illustrations to accompany your text
• Assistance in obtaining permissionsfor use of material copyrighted by others
• Professional proofreading of your book-you also have the opportunity to examine proofs of your book
as it is readyto be printed, in either hatdcopy or electronic form
• High quality paperback and hardcover printing in a variety of industry-standard book sizes
• No-charge reprintings: Vantage continues to pay to print your bookto make every sale
• Flexibility in setting the cover price,within industry norms
• Twenty-five copies of your book shippedto you upon publkation, and you can buy additional copies at
half-off to sell at full price
• All book registrations, including ISBN (International Standard Book Number), Library of Congress
Catalog Control Number, listing in Books in Print, and cover bar codes
• Copyrighting in your name with only a two-year license to Vantage
• Copies ofthe production files used to print your book
• Twice-annual royalties of 50% of net sales, approximately 20% of cover price
• Exclusive warehousing, fulfillment and accounting by Ingram Publisher Services, the distribution arm of
book wholesaling giant Ingram-Vantage is the only self-publisher distributed by Ingram in this manner
• Availabilityto phline booksellers including Amazon, BarnesandNoble.com, Powells.com,
BooksAMillion.com, Indigo (Canada), lndieBound, and many other online resellers
• Next day fulfillment of most orders by Ingram to brick and mortar booksellers, most of whom order
from Ingram practically every day
• Full returnability- retailers know that they can shelve Vantage books because they are returnable to us
in accordance With industry norms
• Vantage funding of co-op advertising dollars and promotio11alallowances for bookstores to host book
signings or promote your book, and easels and posters to use to publicize events
• eBook (eJeetronic book) availability on all major platforms, including Apple iPad, Barnes & Noble Nook,
Amazon Kindle, Google Editions, SonyReader, and Kobo
• Displayunder Amazon's "Look Inside" and Barnes and Noble's "See Inside" programs
• Apersortalized publicity campaign man;,ge~ by aVMtage staff publicist, with hardcopy press releases
and revtew copies mailed to specfflcally target~d meiii:a oVtlets, libraries, lnstitutions4 and bookse lie rs
• Custom-designed full-color announcement postcards promoting your book, mailed to up to l,ooo
recipients you specify
• Sponsored listings in Publishers Weekly Select review issues - Vantage has the most books of any
pvblisher listed in this important quarterly servic;e
• Selective physical distribution in the United Kingdom, Europe, Australia, and Brazil, with additional
territorjes opening
• eBook distribution worldwide
• Marketing of translation rights and other subsidiary rights as approved by you on a market-appropriate
basis
• Protection under Vantage's media hazards (libel) insurance policy

• Interior color reproduction (s1.1 500J


• Two-pass copyediting ($750)
• Intensive line editing (s1, 500)
• Developmental editing- Vantage has relationships with a wide variety of editors and will match your
book with a sympathetic and appropriate editor (quote basis)
• Complex typesetting (many citation levels, sidebars, elaborate tables) (si,500)
• Morelhan 50 illustrations (quote basis)
• Color sc:ans (quote basis)
• Cartography (quote basis)
• Indexing (s1,500)
• Libel legai examination (s3,opo}
• FoteWord, J<irkus, and/or Bltielnk Pilid book tf!Jiiews (Vantage c;ontributes 50% ofthe cost)
• Full-featured a.uthor web site, with buy buttdns,.aVthor profile, excerpt, blog (s1,ooo)
• Bookmarks and business cards (+s100)
• Display advertising in The New York Times Book Review, Publishers Weekly, The Bookseller, ForeWord
Reviews; Kirkus Reviews, and many other periodicais and online newsletters (cost+ 20%)
• Online advertising and search engine optimization (cost+ 20%)
• Coordination of third-party public relations (cost+ 20%)
• Translation services (into/from English) (quote basis)
• Productionofa professionally-voiced audiobook (quote basis)
Exhibit D
Executed Agreement
THIS AGREEMENT ("Agreement") is entered into between David Wayne Watkins of 401 W. Washington Street, Saint James MO 65559
("Author") and Vantage Press, Inc., a New York corporation located at 419 Park Avenue South, New York NV 10016 ("Vantage").

WHEREAS Author is the creator and owner of a literary work currently known as "Poetic Matters of Life" (the "Work"), which Vantage
agrees to produce in book form on the terms and conditions specified in this Agreement in consideration of payment by Author of a Fee of
s10,500 as specified in Section 23,

IT IS HEREBY AGREED between Author and Vantage as follows:


1. Grant of Rights. Author hereby grants and assigns to Vantage, for the term specified in Section 17, the exclusive right to produce the
Work in all forms in the English language and to market the Work worldwide.

2. Production Values. Vantage agrees to produce the Work in paperback book form, in such format, type and style of paper, layout,
cover and binding (the "Book") as it believes will make the volume attractive, subject to Author's approval. Dimensions of the Book
will be approximately 5lh" by Slh". Vantage also agrees to make the book available on the market-leading ebook platforms. A
jacketed hardcover edition will be prepared at Author's request for a supplement of u,750 (initial_).

3. Editorial. Vantage agrees to copyedit the Work in accordance with appropriate style standards (e.g., those of The Chicago Manual of
Style) to amend spelling, grammar or punctuation as may be required. Author will have the opportunity to review all suggested edits.
For an additional fee of u,500 Author may elect to have Vantage coordinate in-depth line editing of the Work (initial __).

4. Illustrations. At Author's option, Author may provide illustrations for black and white reproduction. Color reproduction of
illustrations requires a Sl,500 surcharge (initial ___). Inclusion of more than 50 illustrations or scanning of originals may incur a
surcharge. While Vantage exercises appropriate care, Vantage is not responsible for loss of manuscript material and Author is advised
to send electronic files or copies of textual material and photographic copies or high resolution scans of photographs and illustrations.

5. Permissions. If the Work incorporates any material copyrighted by third parties (such as song lyrics, long-form quotations,
illustrations), Author will obtain written permission to reprint them. Vantage will provide permissions forms.

6. Proofs. Author bears responsibility for examining, correcting, and approving page proofs of the Book as it is laid out to be printed,
including final review to spot typos.

7. Schedule. Vantage agrees to complete production of the Book within one year from Author's initial payment. Author acknowledges
that production of the Book may be delayed if the edited manuscript, proofs, or other pertinent material relating to the Work are not
returned within fifteen days of receipt from Vantage or if progress payments are not made in a timely fashion.

8. Cover Price. Author and Vantage will consult as to the cover price of the Book which will fall within industry norms. Pricing of any
ebook edition will vary with market conditions.

9. Registration. Vantage agrees {a) to register the copyright in the Work in the name of the Author and to pay the U.S. copyright fee;
(b) to obtain an ISBN (International Standard Book Number) to uniquely identify the Book in commerce; (c) to include appropriate
commercial bar codes on the cover; (d) to obtain a Library of Congress Catalog Number for the Book; and (e) to register the book in
Books in Print.
10. Printing. Vantage agrees during the term of the Agreement to print sufficient copies of the Book to maintain inventory adequate to
promptly fill orders. All printings will be at Vantage's expense.

11. Availability. Vantage agrees to use its exclusive distributor Ingram Publisher Services to make the Book available to book retailers
and wholesalers, and to solicit, accept and ship orders for the Book promptly. Vantage will assign an official Publication Date six to
eight weeks after first physical availability of the Book to allow for the preparation of publicity materials.

12. Author Copies. Vantage agrees to deliver to Author 25 copies of the Book upon completion after all monies due Vantage have been
paid. Author may purchase additional copies of the Book at a discount of 50% off the cover price plus shipping. Author may use or sell
Author copies in any manner and, if resold, may retain all funds derived therefrom.

13. Royalties. Vantage agrees to pay the Author royalties (the ~Royalty(ies)") on copies sold of 50% of Net Receipts. Net Receipts are
defined as actual sales less returns and less documented third-party distribution fees. The Royalty for each edition will be no lower
than 20% of edition cover price. Author agrees that no Royalties will be payable on copies used for review, publicity, and sample
purposes or for copies delivered to Author at a discount from the cover price or for free.

14. Statements. Vantage will report sales to Author for the half-year periods ending December 31'1 (reported in April) and June 3o'h
{reported in October). Remittances in full payment of all sums due to Author will accompany each report. Upon request Author may
examine Vantage's accounts relating to the Book.

15. Publicity. Vantage will undertake a publicity campaign for the Book which will include drafting and dissemination of a press release
and sending review copies of the Book to a sampling of appropriate news and review outlets including local and targeted outlets
identified by Vantage or suggested by Author. Vantage personnel will encourage and respond to press inquiries. Vantage will also
mail a flyer or postcard announcing the Book to up to 500 recipients listed by Author.

16. Termination. Either Author or Vantage may terminate this Agreement beginning two years after Publication Date; termination will
be effective thirty days after notice by either party. Upon termination, all rights in the Work shall revert to Author and Author shall
become the owner of any remaining printed copies of the Book (and ofthe final production files of the Book), and Vantage will advise
its distributor and trading partners that the Vantage edltion(s) are out of print. Upon Author payment of shipping and handling
charges, Vantage will deliver such copies and materials to Author together with a final statement of account and remittance of any
Royalties due.

17. Author's Representations. Author represents that Author is the sole owner of the Work and has full power to make this grant and
enter into this Agreement; that the Work is free of any lien, claim, charge or debt of any kind; and that the Work contains no matter
that when printed will be libelous or unlawful or which may infringe any third party interest. Author shall indemnify and hold Vantage
harmless from any costs arising from a breach of these representations.

18. No Guarantee. Author acknowledges that Vantage guarantees neither the sale of a specific number of copies of the Book nor
receipts from any source and that fees paid to Vantage may not be recouped through sales. Author acknowledges that Vantage
cannot guarantee reviews or press coverage.
19. Completeness; Assignment. This Agreement constitutes the complete understanding of Author and Vantage with respect to the
Work and the Book and no alteration or waiver of any provision of this Agreement shall be valid unless it is in writing signed by both
parties. This Agreement shall be binding upon and inure to the benefit of the heirs, executors, administrators and assigns of Author
and of the successors and assigns of Vantage.

20. Performance. Vantage shall not be in default under this Agreement (a) if Author has not performed in accordance with this
Agreement; (b) if any delay on Vantage's part is attributable to circumstances beyond its control (such as war, strikes, delays in
shipping, or acts of God); or (c) if Author has not given Vantage written notice of default by certified mail and allowed Vantage a
reasonable time to remedy the situation. Vantage's exclusive remedy for default of performance by Author is cessation of
publication. Monies paid by Author to Vantage are non-refundable.

21. Jurisdiction; Arbitration. Any dispute between Author and Vantage (including Vantage's officers, employees, and directors) shall be
governed by the substantive and procedural law of the State of New York (including New York arbitration law) under the exclusive
jurisdiction of the state and federal courts sitting in Manhattan. All disputes under this Agreement shall be resolved by binding
arbitration administered by the American Arbitration Association in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect, and judgment upon the award rendered by the arbitrator may be entered in any
court having jurisdiction thereof. The arbitrator shall not award punitive damages and shall not make any ruling, finding or award that
does not conform to the terms and conditions of this Agreement.

22. Communications. Author and Vantage will communicate with each other using their respective addresses shown in this Agreement.
All communications sent to the address indicated shall be deemed good and sufficient. Either party may notify the other in writing by
certified mail of a change of address. This Agreement itself may be executed via fax or via acceptance on line.

23. Payment. Author agrees to pay Vantage uo,500 (the •Fee"), one-third (s3,500) upon signing of this Agreement, one-third (s3,500)
upon receipt of first proofs of the Book, and one-third (S3,500) upon first printing of the Book. The Fee will be discounted by 10% to
s9,450 if Author pays in full upon signing.

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date indicated next to Author's signature.

AUTHOR

c.J
Signed: _ _i)=--w.....________ on_!t__t l / 2012.
If paying by wire transfer: For the account of Vantage Press, Inc., account# 026014440 at JP Morgan Chase Bank ABA # 02100002 1
Please return one signed copy of the contract to me and keep the otherfor your records.

VANTAGE PRESS, INC.

David Lamb, President


Exhibit E
Check to VANTAGE
DAVID W. WATKINS 3711
DBAWATKINSREMODEUNG
401 WEST WASHINGTON ST 80-1041815
SAINT JAMES. MO 68A9 04

For Book P"" ,.., t1C.., 8 e fi'cc /V'/,,,,~. ..c


1:oa ~so lot. q1: ~:. ~o?:. 211• o 3? *~
NIC1111<1
...
Exhibit F
Cover Letter to Vantage
April 10, 2012

From: David Watkins


401 W Washington
St James MO 65559

To: Selina Peyser VP Author Relations


Vantage Press
419 Park Avenue South
New York, NY 10016

Dear Selina,

Congratulations, you have accomplished your mission.


I am herewith returning the contract, signed and dated with my check# 3711 for $9,450.00
in good faith that Vantage Press will carry through. I assume this is a simple and routine process
for you so you probably can't imagine how ne ne nervous I am.

I am sending three of the poems that I have already sent but with, let's say, sketches on them.
If this is ta~ky please advise. I am also sending an "idea" for the cover and three additional
poems I would like to have included but will save the others for, maybe, another book.

If you or whoever I will be working with needs anything from me, just call. I also get text
messages but I am not good at texting and will sometimes have to respond by calling.

Most Sincerely,

David Watkins
573-265-7856
573-263-0073
Exhibit G
Letter from LAMB's Attorney
Hendel & Collins
A PROFESSIONAL CORPORATION
Attorneys at Law
1O1 State Street
Joseph B. Collins Springfield, Massachusetts 01103-2006
Telephone ( 413) 734-6411
Telecopier ( 413) 734-8069
Writer's l''mail: jcollins@hendelcullins.com

December 19, 2012

TO: The General, Unsecured Creditors of


Vantage Press, Inc.

Dear Sir /Mada.m:

Please be advised that this office has been consulted regarding


the present status of Vantage Press, Inc. of 271 Main Street,
Great Barrington, Massachusetts. The management of Vantage
Press, Inc. has asked us to write to its creditors regarding its
current financial situation.

As many creditors know, the business of Vantage Press, Inc. was


incorporated in New York in 1949. The primary business of the
Corporation was to provide self-publishing services for new and
established writers. For many years, Vantage Press, Inc.
operated at a level of profitability that was sufficient to
sustain its business. Despite the cyclical upturns and
downturns in the book publication business, the Corporation
managed to survive.

In recent years, Vantage Press, Inc. reports that it has


responded to the dramatic changes to its business as the
publishing industry, which had been entirely paper-based, moved
to electronic transmission. Under new management in 2010, the
Corporation worked to improve the appeal of its products and
introduced electronic products. The Corporation, however,
continued to experience a tightening of cash flow resulting, in
part, from declining sales and increased competition. In
response to these circumstances, we understand that management
took steps to reduce operating expenses, to improve the
efficiency of its operations, to invest in new marketing
strategies, and to seek capital contributions from new
investors. Unfortunately, the steps taken to improve the
Corporation's financial position were not successful.
The General, Unsecured Creditors of
Vantage Press, Inc.
December 19, 2012
Page 2

It is now clear that Vantage Press, Inc. does not have


sufficient revenue to sustain itself as a going concern. It
has, therefore, ceased all business operations.

At this time, Vantage Press, Inc. advises that it has few assets
that will have value upon liquidation. Its office equipment,
consisting of desks, chairs, computers, and other electronic
equipment, is represented to be of negligible value. The
Corporation represents that it has no accounts receivable that
are likely to be collectible. Inventory, which consists of
books printed over the course of many years, is substantially in
the possession of a third-party distributor. It is not
anticipated that this inventory has any value at liquidation.
Therefore, the liquidation of the business assets is not likely
to result in funds to pay creditor claims.

The total amount of claims due to unsecured creditors is


substantial but, unliquidated. Many of the liabilities of the
Corporation are owed to authors whose works were in various
stages of publication. It is not presently possible to
precisely calculate the total amount of these liabilities. The
Corporation may have other undetermined liabilities for taxes
and other priority expenses. Based upon the foregoing, it does
not appear that unsecured creditors will receive any payment on
account of their outstanding claims.

We have been asked by management to express its sincere regret


for the losses that creditors will sustain as a result of the
failure of the business. Creditors may be assured that all
efforts were made to maintain the viability of the business.
The financial posture of the Company, however, makes it
impossible to achieve the goal of satisfying creditor claims.

If creditors have any questions regarding the closing of the


business or the status of creditor claims, you may feel free to
contact the undersigned or Attorney Andrea M. Momnie at the
address indicated above.
Exhibit H
Letter: WATKIN's Response to Letter from LAMB's Attorney
David W Watkins
Author Poetic Matters of Life
401 W Washington
St James, MO 65559

Dec, 26, 2012

Hendel & Collins


Attorneys at Law
101 State Street
Springfield, MA 01103-2006

Dear Mr Joseph B. Collins,

Having received solicitations from Vantage Press, Inc in February 2012 I purchased from
Vantage Press specific services at the price set forth by Vantage Press. I did not make a loan to
Vantage Press, I purchased services which according to you Vantage Press is now, and knew at
the time they were, unable to provide. By promising to produce my book then having your
attorney write the enclosed letter is fraud. In fact in November, 2012 Vantage Press assured me
that my contract was being fulfilled and would be completed in April, 2013 as promised and that
l had nothing to worry about. I relied on this un-true statement. I notified local book stores and a
magazine editor.
Vantage Press has taken my work, breeched the contract and shared my work with others while
holding me to a contract that restricted me for seven months from doing business with a
legitimate company.
According to your letter dated Dec 19, 2012 Vantage Press was in financial trouble in 2010 but
continued to take the money of trusting customers such as myself making promises they are, as
you say, unable to fulfill.
If, as you say, Vantage Press has ceased all business operations, based on their contract I expect a
refund and they must return anything whereon my work exist. If they don't have the money they
coerced from me they can go borrow it, which is exactly what I had to do. It might save them
from having to pay additional attorney fees.
I need to know if your law offices are actually representing Vantage Press and the individuals
participating in this charade or if you are simple a consultant. Please advise. I would hope some
resolution can be reached without litigation but I am contacting my attorneys none the less.

Respectfully,

David W Watkins
Exhibit I
Letter from LAMB
'~VANTAGE Press

April 19, 2012

David Watkins
401 W. Washington St
Saint James, MO 65559

Dear Mr. Watkins,

We have received your signed contract and initial payment for your new book, "Poetic Matters of Life ."
Thank you! In the com ing days and weeks you will be hearing from my colleagues in editorial,
production, and publicity, beginning with your editor, Sharon Pelletier. I believe you will be quite happy
working with her. In the meantime, I would like personally to welcome you as a Vantage Press author.
We are delighted that you have chosen to publish with us.

We all appreciate the trust you have placed in us, and will do ou r best to live up to your expectation s. If
there is ever a point at which you feel we are falling short, or if you have specific concerns or questions,
please contact me persona lly. We look forward to working together to bring your work to fruiti on.
Thank you again for choos ing Vantage Press.

0::·
- 8a'Vid Lamb
President

PS I am enclosing our new publishing handbook- let us know if any questions remain.

dlamb@vantagepress.com
(212) 736-1767x101

Vantage Press, Inc. I 419 Park Avenue South I New York NY 10016 I Tel 212.736.1767 I Fax 212.736.2273 I vantagepress.c~ ~ I
/~.~ta&lislwtl 1949
c; VANTAGE Press
PUBLICATION PROCEDURE
Not all elements are necessary for all books - this is meant to be an inclusive list.
Stages requiring the most active author participation are highlighted in red.
PREPARATION • Receipt offinal manuscript: Microsoft Word files preferred but hardcopy welcomed
• Introduction with editor and confirmation of timeline and author vision for book and process
• Assessment ofauthor's design preferences and any production complexities
• Requests for author biography, dedication, and acknowledgements
• Assessment of illustrations and photos -this may require additional collection and scanning
• Keyboarding ofhardcopy(i'lanuscriptlf required (adds several weeks to production)
EDITING • Correction ofspelling, punctuation, and grammar
• Close editing affecting sentence structure, if mandated by author and necessary
• Control for consistency of reference throughout the book (character names, for instance)
• For non-fiction, formatting of references to conform to The Chicago Manual of Style
• Coding for chapter heads, subheads, tables, quotations, verse, and illustrations
AUTHOR REVIEW • Author reviews copyedlted manuscript against original, accepts or rejects edits, and
responds to queries raised by the editors
• Author prompted forplacementofillustratlons and creation ofcaptions
• Final changes and additions to text are completed by author at this stage
FINAL TEXT • Collation and entry ofcopyedits and author amendments into digital text
• Preparation of text:for design (consistency and formatting review)
DESIGN· INTERIORS • Sample pages showing text andpage style and design cues are.generated for author
approval beforetheentlrebool<is laid.out
• Typesetting and layout of interior ofbooklnduding placement of illustrations, creation of
table of contents, copyright page, and title pages and other front and rear matter

• Author reviews first pass pages- the fully designed interiors of the book (also commonly
called the 'first proof or 'galleys')
• This is author's last chance to make text corrections

PROOFREADING • Professional proofreading of first pass pages for typos and formatting issues

SECOND PASS PAGES • Incorporation of aothorchangesandproofreader's corrections, preparation of second pass


• Review and approval by author to finalize the press~ready interior
• Index creation (for some non-fiction books)
DESIGN ·COVER • Creation of proposed front cover (the cover 'comp') by a professional designer
• Approval by author with changes if desired
• Ful I 'mechanical' of cover (front and back) sent to author for review and approval
HARD PROOF • Author reviews final pass and cover and signs off on printing
• Vantage digitally prints a sample book (the 'hard proof') which is nearly identical to the final
book
• Confirmation of production values and reproduction of illustrations
PRINTING • After final author approval, the book is transmitted electronically to be printed
• Printing times depend on printer and printing method, from two to eight weeks
• eBookfiles generated for all platforms {Kindle, Nook, iPad, Kobo, Sony, etc.)
DISTRIBUTION • Availability via Ingram Publisher Services to all distribution partners - books available for sale
two to three weeks after printing
• Worldwide print-on-demand availability via Ingram Lightning Source {UK, Australia, Brazil,
Germany)
• eBook release to all platforms worldwide
• Filing copyright registration (receipt of certificate from Library of Congress takes months)
PUBLICITY • Author publicity questionnaire (about three months prior to publication date)
• Advance book information shared with trading partners including Amazon, Barnes & Noble,
Powells, lndieBound, etc. (at Hard Proof stage)
• Press release written by staff publicist for author approval
• Mailings of review copies and outreach to generate interview coverage
• Announcement postcard designed and mailed to author mailing list
• With author's initiative, organization of book signings, readings, and other events - Vantage
support includes guidance, bookstore liaison~ in-store posters, and 1:0-op advertising money
for bookstores
• Quarterly listing in Publishers Weekly Selects
• Paid reviews commissioned if desired
SALES • Sales begin with availability of books at Ingram after printing
• Title mounted in Ingram's online ordering system and available for sale
• Information about title disseminated automatically to booksellers
• Vantage reports and pays royalties i20 days after the end of every half calendar year
{Watkins}- {Poetic Matters of Life}

WORKING WITH VANTAGE


l<ey Staff
Please feel free to call upon us. Email works very well, but we also are pleased to receive calls, faxes, mail, and
personal visits. Our main number is (212) 736-17671 and individual extensions and email addresses are listed below.
Our fax number is (212) 736-2273.

Laura Ross x 106 Editorial


Editor lross@vantagepress.com
Molly Black x 111 Editorial
Editor mblack@vantagepress.com
Sharon Pelletier X112 Editorial
Editor spelletier@vantagepress.com
Fiona Hallowell x119 Editorial
Editor fhallowell@vantagepress.com
fv1eg Parsont X117 Publicity
Publicity Director mparsont@vantagepress.com
Josh Glickman X108 Day-to-day publicity issues: media I
Publicist jglickman@vantagepress.com press contacts, mailing lists,
postcards
Nicole Sherman TK TK
Associate Publicist
Jennifer Davids x 105 Billing, account status, book orders
Customer Service Manager jdavids@vantagepress.com

Mail
Our mailing address is 419 Park Avenue South, Suite 8071 New York NY 10016. Letters and parcels may be
addressed to an individual per the above list, but we will also get your mail to the correct person even without an
individual addressee. (If you need to fill out a label with a phone number, please use 212-736-1767 x 105.) We
recommend that you send publication materials, such as proofs, using the Delivery Confirmation service of the
U.S. Postal Service. Please note that we do experience variability in receipt times, particularly with larger
envelopes and parcels. FedEx and UPS deliver to us every day and offer tracking.

Receipts
We are happy to provide receipts of your payments, although as a practice we do not do this automatically. Just
let us know if you would like them, and we'll start sending an email or postcard acknowledgement after each
payment.
Handbook Contents

Working with
Names. Numbers. Addresses. Everything you need to know about how best to contact us.

E.diitoirl~!
Question riai re
Help usuoderstat•d your goals and. expectations for your book; Ple~se retutn in 2-3 weeks' time.

Publicity & Marketlnf:


Help us more effectively sell, publit:ize, and promote your book. Complete and return at your leisure!

"''""'"~'""Press Pubik 1 Time!ine


Each stage of the publication process -what needs to be done and how long it will take.

FAQs
We've done our best to anticipate your first round ofquestions - here's the answers on everything from
production to publicity.
, , VANTAGE Press

Dear Vantage Press Author,

Over the past couple weeks we have been working on creating an Author Handbook for all of our
Vantage Press authors. The goal of the handbook is to simplify the publishing process for you and
answer any questions you might have, from-who do I contact when I have a question about my
payments?-to-when will I receive my manuscript back from the copyeditor? The kit also includes
such useful elements as guides to reading edited manuscripts and sample postcards from recent
Vantage press books.

What you have in you r ha nds now is our first attempt, or "draft/' of what we hope wi ll become an even
more comprehensive an d thorough handbook in the future . As you enter the publishing process, please
let us know if and how this kit has been useful to you and more importantly, when it fell short. As a
Vantage Press author, your input is invaluable, as you will know better than anyone what you need fro m
us.

We look forward to heari ng any.and all of you r comments, questions, suggestions and advice.

Yours truly,

Vantage Press

Please reach out to:


Sharon Pelletie r
Associate Editor
spelletier@vantagepress.com
(212) 736-1767 Xl12

:~ :;:.. ~·? R ,
Vantage Press, Inc. I 419 Park Avenue South I New York NY 10016 I Tel 212.736.1767 I Fax 212.736.2273 I vantagepress.com r. f,~
'1*.'\'t~ "'t ~:;"

Esta.blislwd 1949
HandbOok Eittras

Mailing ~nvelopes
Thr'ea pre~(J,elre$Sed, pre-paid malltn•renvell;li;ts- one fQt your editorial questionnaire, one for your publicity and
marketing questionnaire, and one to use aty®t eonveniencet

Permissions
How to gain permission to use material from another publication, broadcast, website, song, or performance.

Permissions form
Adr-afted !etterwe'w prepared,~thatyou may use as a:guide:for how to request permiSSions.

Sal'r\ple Pom:al'.ds
Two publicity postbrds from previbusly published V~l'ltage Press boots.

Mailing Labels
Three hundred Awry mailing labels with 11'\struction sheet-- start making your mailing list nowt

Your Guide to Track


Digital editing makes it simple to aecept or reject th~ ~;mges that have been made to your manuscript. Learn how
to read and use Microsoft Word's Track Changes feature.
PermisSions

lf"your work inclt1dts material from ai'fi,)thet publlcotlon, "1'oadcost, website, song, or performance, we want to help
you. to seekqgproprlate permissl(m tQ. rqrorfUCfJt Perml$Slon gaeJ:bewmd cltation orattrlb#tlon, both of which
sht}ukt:Jie ain~/itly given as welt, TJt:eneed for permfsslons even RterJ.ds to'YOlll'OWn prelliOusly pubRshed works
J.illtenJed t'c>tlpQb/Jsher other thatJ Vo~toge Pte.SS. · · ···. ·

The following guidelines are not meant to be exhaustive - please contact us with questions.

PholoJl"l>h$'a lll~ons. lllusm>t~nsm0,~.b.11ve ~P· ~t~f>ns, ev~n Jtthey are collected from the
internet Wfthout ~.stated fee. Per'$onal photQg~phs~llV do not Ffil~l.re perml.sSions. Illustrations published
by th.! U.S. government are considered In the pubttc domait'I. and can be used freely.

Q.uotati1:>ris. The .,Fair Use" doctrine allows relevarit Qse Of published text1 up to approxlmate(y:
• 500 won:lsfrom any non-fiction, .book-length t$Ct
• 100w.ords from a magazif'!t or joumitl.
• zo:wordS'from a creative te)c.t(poem, novel, ()r play)

Permission must be sought for use that exceeds these parameters. Permission must be sought for any use of song
lyrics, even a single line.

Newspapers. femllSslon must be s<>ught for any n~per citation or reproduction of a dipping.

l.ettert• Quotations from unpublished letters must be authorized by the i:>erson(s) who wrote the letters, or her/his
heir:J.

Obtaining Permissions
Orpnlzlng eopvtlghts, If you know:tbecopytjgtrt tn:im~er, date of coP\fright, and in .whose name the copyright is
reglstered,ptease Itemize thesed~t:correlated to a rnin'Ul,scrlpt pageJ'lUmbet Q17phrase. Our copyedltor wlll also
flag1~ti~.s whete.permissions may t>e required. .

Requesting Permtssfot'I. To obtain permJsslptfS~ Wdte to ~ publisher Of the.we>tk you Wish. to quote and provide
the following information:
• The title of your book
• The categoiy of your book(fktton, non~flctfon, poetry, memoir, etc~}
• Appl"Oldmate date of publication (generalty you can use: fit month$ from the date of your Vantage contract)
• The title and author of the book from which vou wlsh·lo quote.
• Thepapnwnber(s) on whichthequoted material appears
• Total nulrU>er of words (lines If t)'*"VOI" music lyrlcsJ fn'iheoquated matter
• Thi! eiract c<>pyof the passage you Wish to 4UOfe;
A useoble permissions form is included along with the other Inserts in this cate kit.
Date, 2012

Name
Address
Phone Number
Email

Dear Editor:

I have written a book entitled TITLE, which will be published by Vantage Press, Inc. in MONTH, 2012.

May I please have your permission to quote from:

Your publication: TITLE


Authored by: AUTHOR
Published in: YEAR

the following material:

PASSAGE(S) [or: copy attached]

in my book in all formats, including nonexclusive world rights in all languages. The rights you grant me
will in no way restrict republication of this material in any other form by you or others authorized by
you.

If you do not control the copyright on all of the above mentioned material, I would appreciate any
contact information you can give me regarding the proper rights holder(s).

I would greatly appreciate your consent to this request. For your convenience I have provided the
release text below, a copy of this letter for your files, and a stamped self-addressed envelope.

Sincerely yours,

Author name

I (we) grant permission for the use requested above:

Date: 2012
Credit line should read (optional):
NO POSTAGE
111111 NECESSARY
IF MAILED
INTHE
UNITED STATES

BUSINESS REPLY MAIL


FIRST-CLASS MAIL PERMIT NO. 5990 NEW YORK, N. Y.
POSTAGE WILL BE PAID BY ADDRESSEE

~; VANTAGEPress
419 Park Ave. South
NewYork, NY 10157-0089

1••• 1111 •••••• 11.1.1.1 ••• 111 ••• 11 ••• 1•• 1.1.1 •• 1.1 •• 1
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, ; VANTAGE Press
AUTHOR QUESTIONNAIRE
As we review your manuscript, it is helpful to us to hear directly from you about your background and
your intentions and expectations for your book. Any information you provide on this questionnaire or
accompanying sheets is of course kept completely confidential. Please return the completed
questionnaire to us by mail, fax it to us at 212-736-2273 (no cover sheet necessary), or email a copy to
authors@vantagepress.com.

BASIC INFORMATION

Title of Book __,,,_;;;IJ.;.....,o,&..::iel""'llU·,...._.11'--=-"Q.-.!..._l.,..ell.Lt-4::S--~o....S:'--~-=L;;..;..,_s:-.;e;;___ _ _ _ _ _ _ _ __


Mrs._ Ms._ M i s s - - ® - Dr._ Other _ _ _ _ _ __ Suffix _ _ __

First ~' J Middle t1Jodf'< Last _..'1..._u~/o¥---'f'-'k""'''""-n......s"------


Street Address ~O I (A.j LJ./cuh ~n,/o/\
City 51. jz .t\1P'~ State mo Zip/Postal Code 6<i 55<? ~ther_
Phone S 73- )6 5 - ?gS(, Other Phone (Work, Cell) _ _ _ _ _ _ _ _ _ _ _ __

Email Wol'I!
I prefer that Vantage communicate with me by _ _ email --€J ~
TELL US ABOUT YOUR BOOK

Please give us in your words a summary of your book:

'ihe. ev1Je'\C• gf ),f~, suffetP-), f'1k--a.+J, l1t1ed o..~J e1111oye.J

I feel the greatest strengths of my book are: So1"1e wh~~~ ,'n 1 f.. 1l a. l"lof',.- 1 ..;-/,.,,I- L••. (,. t,. < ,.
ca..t\ he .5'1ai.eel "''"" ~ <-t.ll-· eA.''/r:
1
-'ff ,. •·

I feel my book may need work in the followina~~(s):uS 'f 1 1: ba <e.i c ' ( .. uh,
Aea...d11·1:' ,,/· {c. (iie '·'5<''~;<r;.1~e -t f>"f:,·:c.~l (le,:11!~ ,,,., 01..11- 5oc 1 e·A1
'v'/hen did you first start work on your book? /u ,.~ '·i ';, ~

How long have you worked on your book? --~~-1(1~/,_J__.5---iy,....s._s______


, , VANTAGE Press

WHAT YOU WANT FROM YOUR PUBLISHER

What attributes are most important to you as you seek a publisher? Check all that apply or rank in order
of importance.

~Ability to produce a quality book __ Number of free author copies

_.3_ Editorial assistance __ Royalty rate

..!f:._ Copyright expertise __ Cost of publishing services

_J_ Ability to promote my book -5_ Printing a marketable quantity of books

__ Efficiency of warehousing and sales __ Availability on Amazon and on line

__ Speed of the publication process __ Availability as an eBook

__ Professionalism of staff, full-time staff __ Location of publisher's office

Other:--------------------------~

How did you hear about Vantage (Google,~ television)?:


Have you submitted your book to publishers besides Vantage? If so, which publishers (please note if
they are reviewing it currently)? 1 ho..v( w .... f~/\ 50f'l'j !: t·<-:<cr-JeJ
I I·) /Lh. ~~1,1./.'e I nae.I c..c /. c1 (
h(..t 'le 0'1t~ (' ~ke:i (••' !' v r.
TELL US ABOUT YOURSELF

Please tell us a little about yourself- highlights which might ultimately interest a reader of your book.
f<ll..! '><7' ..• ( poo 1..
~e f 1~;·tc..':s bc.J (i.''ll-Y
l)lv'Ot'-~,,;. (())IC~
~)"e<H) riv~ t:' ( ··.·{..;:,'-'/\':;
What is your occupation? Previous positions?

Sc..~ooi, U SfVIC. (St·~) Sel{em{>b'f-J 33 ~.s

Where were you educated (names of schools, years of graduation, degrees)?


f/,.. ..-1· da.i y, Jd1l"'l r:. l./od.t:ic- f/ ..::1,:, ;,c.hoo I
f._vc.y Wo1..tltia.·' ];,.,'\:rs 1

f<otla lhca. l·oc~I- 1.-ti s~··-.:·{·/ a.nJ r'1e f>b~-111e <-C .. t~ •.1·.t".fe f)
I
What hobbies do you pursue in addition to writing? .
f.o..tl11/1 ~f1 t.11fte\.' ChVl-c.h / ;~a.Jet.1.J..( a.~~oc 1a./io11 1 fg41nc1 "ii Gv/lS
g rs O·"' Cif'/ Cc~l"c.i/, pf4;1 qv1fa.r
What authors do you particularly enjoy or admi're?
!'~ e • .. : ' ,• ! ;:.. f. C . I-· I
{Watkins}- {Poetic Matters of life}

j~ % l\ fL i\

J\11th 1w Phntt><n•"

If you would like your photograph included on the back cover please provide a physical print (black and white or
color) or digital file (high·res 300 dpl preferred). The classic aothor photo is a head-and-shoulders posed portrait.
l'i

Please provide a short (approximately 100 word) biography. This will appear on the back cover. It should touch on
the highlights of your life (such as education, career, family, and current pursuits) motivation for writing, and any
previous publications. We may edit this, subject of course to your approval. Please only include information you
are comfortable having featured on the cover. Your biography is an essential component of your book.
[Watkins} - {Poetic Matters of Life}

PERMISSIONS GUIDELINES
If your work includes material from another pvblication, broadcast, website, song, or performance, we want to
help you to seek appropriate permission to reproduce it. Permission goes beyond citation or attribution, both of
which should be consistently given. The need for permissions even extends to your own previously published
works if licensed to a publisher other than Vantage.
The following guidelines are not meant to be exhaustive- please contact your editor with questions.

Requ
Photographs & Illustrations. Illustrations must have specific permissions, even if they are collected from the
internet without a stated fee. (Many quality images are available under a generous "Creative Commons" license.)
Personal photographs generally do not require permissions. Illustrations published by the U.S. government are
considered in the public domain and can be used freely.
Quotations. The "Fair Use" doctrine allows relevant use of published text, up to approximately:
500 words from any non-fiction, book-length text
100 words from a magazine or journal
20 words from a creative text (poem, novel, or play)

Permission must be sought for use that exceeds these parameters. Permission must be sought for any use of song
lyrics, even a single line.
Newspapers. Permission must be sought for any newspaper citation or reproduction of a dipping.
Letters. Quotations from unpublished letters must be authorized by the person(s) who wrote the letters, or
herfhis heirs.
;.;15

Organizing Copyrights. If you know the copyright number, date ofcopyr19ht, and in whose name the copyright is
registered, please. itemize these data, correlated to a manuscript page number or phrase. Our copyeditor will also
flag instances where permissions may be required.
Requesting Permission. To obtain permissions, write to the publisher of the work you wish to quote and provide
the following information:
The title of your book
The category of your book (fictio111 non-fiction, poetry, memoir, etc.)
Approximate date of publication (for permissions purposes only, use six months the date of
request)
The title and author of the book from which you wish to quote
The page number(s) on which the quoted material appears
Total number of words (lines if poetry or musk lyrics) in the quoted matter
The exact copy of the passage you wish to quote.

A useable permissions form is included in this document.


{Watkins} - {PoeticMatters of LifeJ

PUBLICITY INFORMATION

Vantage's 2-Phase Publicity™ campaign for your book will begin approximately three months prior to publication
of your book. A publicist from our team will contact you as the process commences.
The goal of the publicity campaign is to garner maximum exposure and sales for your book. It is important to
create interest in your book in the media and online - as well as in your local community - to drive awareness of
your book. Vantage has created its distinctive 2-Phase Pllo~licity™ program to maximize awareness both in the
months leading up to publication and sales in the months Immediately after publication -and beyond.
Your responses to the following questions will help us not only to promote your book through our traditional and
existing contacts, but also to develop and create new relationships and contacts With publications, websites and
other marketing channels. We will work with you to find the readers and publications that will be most interested
in, and specifically targeted to, the genre and topic of your book.
{Watkins} - {Poetic Matters of Life}

QUESTIONNAIRE

Although we are in the early stages of pobliC:atlon, we are sharing with you now some of the questions we will
have later on when we are getting ready to promote your book. While it is not necessary for you to respond to
these questions immediately (though do so if you like!) we will eventually be discussing all of the following points.
This questionnaire is designed to he1p y9u and the Vantage Press Publicity department work together to more
effectively sell, publicize, and promote your book. The Information you provide will help us to target promotional
and press opportunities, create materials; and make appropriate media pitches. More importantly, this
information will help us achieve our mutual goal- to sell your book!

If you already have a personal web site, author or book website, blog, Facebook page or Twitter account please
share the addresses with us.

In:
Thefollowing questions are designed to help us learn more about you as person, so please include any other relevant,
quirky, orjust plainfun information you think we should know about you.
Do you have any special or unique areas of expertise? ts there any anecdotal or biographical information about
you or your family background that readers may find interesting? (Think famous ancestors, participation in
newsworthy events, etc. - of course if your book is autobiographical we may have already read about these
highlights!) Please feel free to include the odd or unusual as well. Knowing you helps us publish and publicize your
book better.
{Watkins} - {Poetic Matters of Life}

ti ; ;
'Book blurbs' are comments about your book by critics, reviewers, or authorities relating to your field or area of
expertise. the best blurbs may be used both on the book itself as well as in press releases and marketing
materials. If you would like us to use the bfurb submitted on the editorial questionnaire and no additional
information Is to be submitted, please indicate here=

Please quote with attribution any blurbs your current book or earlier publications have garnered. Please also
suggest any critics, authorities, experts, or recognizable names within your discipline or in your acquaintance to
which pro0fs or advance copies of your book should be sent wlth a request for a comment.
{Watkins! - {Poetic Matters of Life]

PUBLICITY TOOLS
Press Relea~es and Review (:,'opl~s
ThtfVa!ltage Pf8$ Publicity D~e~ Hndsptess rele¥es and revlev(cqpies of your book to print, broadcast,
and onltne medfa: outlets for review· and/or feature coverag~ We may .also· submit books for various annual
awards, in the book industry geher,atty and within your citstipffne spklficaliy. You can help us do this more
effectively; by providing information about publications and awards within your area of expertise that we may not
~awareof.

Medja Qutleis
Are there particular newspapers, ma!)atltteS, n~etters, online med.ia outlets, biogs, websites, scholarly
joumals; professional and trade·pl.lblliations, college :or.afUmnl magazines, or other professional groups or
orgai"liZi.tiPriS :QfWhich you are.~ ~rnber, thJtw. Sho:UI~ adcl .to por.~stillg book re\riew list for your book?
Please afso Indicate any of the aboff!wlthwhich you ·have been personally associated; and lfyou have contacts
with editors o·r reviewers, please al$0 provide their names and contact information.

Personal Mailing List


Do you have a personal mailing list to whlch you would like. a postcard announcement sent? Upon publication we
will mail a postcard consisting of an image of the cover and promotional copy, including an order number, to up to
500 people. Sample postcards from recent Vantage books are enclosed. In this package we are also providing
malling labels for your use - handwritten, typ.ed, or completed using a word processing template. There is of
cq(;lrse pJenty of time for you to compile this list; and let us know if you need additional labels. Please let us know
any Of'yourspeclflc questions about mailing lists.
[Wat kins} - {Poetic Matters of Life l

Book signings are an important way for authors to make direct contact with an audience and a proven venue for
selling books. While they are not to all authors' taste, we would like to work with you to support as many book
signings as we can mutually arrange. Your responses in this section will help us understand your preferences and
network.
Wouldyou like to hold a book signing? _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
If yes, where would you prefer it to be held? Venues may include bookstores, libraries, community centers,
schools, and private houses (including your own, or a friend's). Please list your intended sites: providing the
complete name, number, address, and contactperson for each venue will help us efficiently work to arrange
signings with you. It is of course a personal appearance and your own initiative in contacting sites in person (with a
copy of the ~0ok or proof in hand!) can make all the difference in getting the booking and in getting the
arrangements·right.

For confirmation purposes:


Any information in the foregoing questionnaire may be used by VANTAGE PRESS, INC. for publicity purposes
unless otherwise specified.

Signature - - - - - - - - - - - - - - - - - - - -

Date:--------------------------
FAQs - Editorial
hat's the best way to contact rny editor?
Email is the fastest and easiest way for your editor to communicate with you, from answering your
questions, to asking for needed information and submitting things to you for review.
lfyoJ=are not comfortable using email, feel free to ~et in touch with your editor via phone and voicemail
-don't worry, although we are always busy, your calls will be returned as soon as possible!
If you prefer to use regular mail for materials and correspondence, be aware thatthe time involved may
lead to delays in the production process, though we will do our very best to make progress in a timely
fashion.
What's the first thing I'H receive and when should I expect it?
After a conversation with you to determine your manuscript's unique needs, your editor will assign your
book to a professional copyeditor. The amount of time involved in this step varies from one to three
months, depending on the length of your book and its particular needs. Your editor will submit this edit
to you when it is ready; please review it carefully and respond to all comments and queries the
copyeditor and editor have entered.
What's the difference betwe.en a copyedit and a proofread?
The copyeditis the first step in preparing your manuscript for publication. A professional copyeditor will
read your manuscript carefully and correct spelling, grammar, and punctuation for consistency
according to The Chicago Manual ofStyle. The editor wilf also insert notes to the designer on formatting,
organization, and placement of any illustrations or images. You will also find editor's queries. These
highlight any seotence or par~graph that you ne.ed to revise to make your meaning dear to readers, as
well asJacts, quotes or references sources that need citation or fact-checking. It is very important that
you respond or submit rewrites for every query included with the copyedit you receive.
Proofreading is a vital step close to the end of the production process. A professional proofreader will
read a final version of the designed book to catch any last typos or formatting issues.
I've added to or revised my manuscript since I originally submitted to Vantage.
What should I do?
When your editor first contacts you, she or he will verify with you whether the manuscript you originally
submitted to Vantage is final and correct, so please let them know if you are continuing to write, if you
have additional content to add, or if you would like to submit a revised manuscript.
When is myJast opportun.ityto make substantive.changes to my manuscript?
The besttime to make substantiv~ changes (such as additions or deletions} is when you review your
copyedit. You may also make final small corrections (such as minor text revisions) when you review the
'first pass' pages Of your book's designed interiors. 'First pass' pages are also called 'first proofs.'
I have pictures g1:jUU~~r<;ttlQn~ tp include in my book.
In,whatfotma't should 1submit them?
It is id@I if you can provide bigh·Y~sottJtlqo digjtljl files- ~s ofyour images at ;3PO+ dots per inch, or
"dpi"--via email or by mailing them to us on a disk·on)n:a USB cirive. If you do not have the equipment
or ability to ,o~in such scans, lotal.copy and ph~aphic shops such as FedEx Kinkos offer these
services. You also have the option of .sending your originals to Vantage, though it is important to note
that while we Will do our be~to preserve and return ¥Qvr pbQtos or art, we cannot guarantee it.
What information should I indude in my bio?
Include anything a reader might want to know aboutyou,:fromy<>ureducation and career background,
to yourtravel and hobbies. Al~ iriclu~ ahy ~riences,pert{nent to your b<>ok, as well as any previous
publicat!Onsor awards. Take a look atyour favorite books for examples ofstrong author bios.
How do you determine the cover price of my book?
We want your' book to be com~ttlVe with <:ornparable books in the market, so we wilJ suggest a price
taking intq a~Qu.ntthe catege>N;,f~~~ aoct ~gth ()f yovr book. We are happyw listen to your point
ofvleW()n cove~'price as well. · · · ·
Can I design my own cover?
Your editor wfU dis~uss your tdf~S foryour coverwlttt ¥QU, a'nd a profeSSional cover designer will create
a sophisticated cover for yourbook. We will do our bestto capture yourvision within design limitations
and lndustry·~ndards.
What if I don't like my book's cover?
We are happy to create a few altemate,deslgnsfor ¥QU to review, You can t~st our expertise! Take the
time to share ttte cover design witfrramlly,and frtendS tbf'their reactions. Once-you've chosen a cover,
yqu'tl receive a full 'mechanicafqayoutofthe tQvertoreview all details carefully tbr any final changes.
What is a hard proof?
What we call a ,hard proof' is the first sample copy of your book. Because we are making the best use of
new dtgital printing technolggies, the hard proof looks very much the same as the final printed book,
but it affords us both a last opportunity for careful review and to make any necessary changes. Note
tbatthetUfti&Ntitid time with 91Jt;t'omp~ts and pdnt~r$ tbt'e&C:h Version .of a hard proof- if changes
arenecessafy4.is apprDximateJy,~me.month. ·· ·
lQ!n excited,topublici~e myb.nQ>katld set up S'igning events.
Who do l talk to, and when?
You will be<intr()duced to a publicist towards tbe end of the production process. This publicist will
eventually .become your primary contact once yoor b<>ok ls completed. Let your editor know if you are
eagertospeakt()someone earli,erin'the editorial proce:ss, and we will set up a conversation for you!
When wUl my book be available on Amazon.com and Barnesandnoble.com?
Once you approve the initial sample copy of your book, we will release it for distribution, and it will be
available to onHne retailers and other distribution partners within one to three weeks. Please note that
different online retailers take up the information ourdistributor, Ingram, disseminates at different rates,
and that itis not uncommon for changes to take one to two weeksto populate out to all accounts.
How do I iny into Barnes & Noble or my local bookstore'!
Your book WIU be available for shoppers onlirie as well as for order in stores once you give final
approval; however, no bookstore willautomatically carry your book on its shelves without contact from
you, the author. When your book is nearing the final stages of production, your publicist will be in
touch to discuss the details of your publicity campaign, but feel freeto begin reaching out to your local
retailers at any point. Patronize your local booksellers, get to know the staff and managers, and let
them know yt>u have a great bqokcoming ovt.ffhe same is true of even a national chain like Barnes &
Noble - the local store manager has the latitude to schedule events.) Your excitement will be
contagious, and is the most effective way to get your book onto the shelves in addition to its wide
distribution online.
Docs antage provide support for bookstore events?
Yes, in addition to easels and posters, we will pay bookstores up to s200 in 'co-op' dollars in support of
any bookstore event or ca rton•quantity stocking.
II my book be available internationally?
All our books are listed on Amazon's worldwide sites. Additionally, if we print your book digitally, it is
available via Ingram's printing facilities in the UK, Australia, Germany, and Brazil. (This is one of the
reasons. we like to have every book available in this format.}
HoW<Can l find outaboutsales of mybook?
We can track sales in two ways. Using tools from out distributor, Ingram, we can measure how many
copies have been shipped to buyers and to resellers such as bookstores. Using Nielsen Bookscan, we
can see how many copies of a book have been scanned and sold at stores. (Bookscan reports only about
8o%of bookstore sales because not all retail outlets are signed up for its service.)
When do I receive my copyright registration?
It can take up to a year after publication to receive the actual certificate of copyright, but your rights are
fully protected even before publication by U.S. copyright: law.
Who shou Id I contact to purchase extra copies of my book?
Please contact Jennifer Davids at (212) 736-1767 x105 or at jdavids@vantagepress.com. Author copies
are priced at 50% of the cover price, and JenniferWill be able to estimate shipping and handling charges
for you.
J

·-~diting a manusq:ipt in 1lttmlcrosoft Word <illows aD edit()( to 11$ei~ Cbat:t~ a tool that keequraetc :of

ev.-ry change made to the original dil!UI copy ofyoµr b,oolc, ~'~~iotl }$, lnsertdJn the lltte,9ftypenot !!I (!Je

margins as in proof-readin1. Track cha111ed-edlts can Initially $eein diffltult to dlstl~bh from the orisJnal texUs

both appear In~ thus you must follow this simple rule of thumb.:tJb.t..~riBl118~ dta111ed text presents

wi rh a slriketll,..w1111 while the corrected text is underlined.

Specific M,Marks

unlike physical manuscripts that have been edited by hand; d1'itally .track ch•n&eifrtial'luscripts use telat!Vetvfew

specific marks, thou1h there are still a couple thin$S to watch out for~ Avetdeallltte:mihe lllft.marjlnJndi~'

t ti at a chan1e has been made in the correspondin1 line ohej;t to thct n1ht. If}$ also. posstbht ~t yau ~

see what is called a ;'.balloon:. in the rtsht mar1in..,~-means th!! line of text

has been formatted.

,a.cceptin1 or Rejectin1

Your job as the writer Is to compare your original textto the edited text. Pitrhapsthe editor has repbra$1d a

sentence and you preier 1he 11rieim1I think •trey, mv mnteoet was Of@ttv dam ll90d to bgln w!J,hi-.1n this

scenario, hiBhlight the track cha111ed telct, drag<yout mouse to the'sectl0nofthet0ol bat labeled:,ttli~

and select the button "Reject Change,"l'h.e«dlt andred:s~gh$ wlli d}sa~lllldthe'ttlgtMl.-xt.W,llFbe

res to red. Other editorial changes,X!l.Y.;Will wantto aecep~r such a~ cor~d:spelJlhl llOli.tta~J!\ir.\f/hen vw see
r ha nges such as this, select the button, "Accept Change." The red wlll disapl)or and the edit Will stllild.
Exhibit J
Letter from LAMB's Attorney

Hendel 8e Collins
A PROFESSIONAL CORPORATION
Attorneys at Law
101 State Street
Joseph B. Collins Springfield, Ma.ss&ohusetts 01103-2006
Telephone C413) 734-6411
Teleoopier (413) 734-8069
Writer's e-mail: jcollins@hendelcollins.com

January 14, 2013

TO: The General, Unsecured Creditors of


Vantage Press, Inc.

Dear Sir/Madam:

This letter follows our December 19, 2012 correspondence. As an


initial matter, we note that some creditors have been uncertain
regarding this office's representation. Please be advised that
this office represents the management of Vantage Press, Inc.;
specifically, its President, David Lamb. This office does not
represent the corporation.

In any event, our client has asked us to forward the enclosed


information sheet, together with a form of Assignment and
Release, to you. If the Assignment and Release is acceptable to
you, please sign and return it to this office. If you have any
questions regarding the enclosed form, we encourage you to
consult with your own counsel. All fully executed Assignment
and Release forms received by January 31, 2013 will be forwarded
to the President of the corporation for processing.

It is not possible for us to respond to all telephone inqu1r1es


about the status of the corporation or your individual claim.
If you have questions regarding Vantage Press, Inc., please
forward them to us in writing at the address indicated above.

Sincerely yours,

ri!i~
Enclosures
~~VANTAGE Press
Vantage Press, Inc.
271 Main Street, Suite 3
Great Barrington MA 01230

Assignment & Release Agreement


Dated January 11, 2013

Vantage Press, Inc. ("Vantage") hereby releases and assigns t o - - - - - - - - - - - -


("Author'') all rights Vantage may have relating t o - - - - - - - - - - - - - - -
(the "Work"), including any printed copies held by any third party. In consideration thereof, the
receipt of which is hereby acknowledged, Author hereby irrevocably releases and discharges
Vantage from all debts, claims, actions, demands, causes of action, suits, accounts, covenants,
contract!>, agreements, damages, and any and all claims, demands and liabilities whatsoever of
every name and nature, both in law and in equity, that Author holds against Vantage, its affiliates,
agents, attorneys, officers, directors, and employees, expressly including claims for royalties now
owed, earned, or as may be earned in future sales, up to and including the date of this Agreement.

Accepted and agreed as of the.date indicated above:

VANTAGE PRESS, INC.

Its President

AUTHOR
Update on the Status of Vantage Press, Inc. ("Vantage")

How can I correspond with Vantage Press, Inc. ("Vantage") has ceased all business operations. It has no
Vantage Press? business office and all employees have been terminated. The President of Vantage
has requested that all correspondence be directed to his personal counsel, the law
firm of Hendel & Collins, P.C., located at 101 State Street, Springfield MA 01103.
Hendel & Collins, P.C. represents the President of Vantage personally and not the
corporation.

Where are my books? Vantage inventory has been held since July 2010 by Ingram Publisher Services
Can I get copies of my books? ("Ingram") at its warehouses, principally in Chambersburg, PA. Ingram is a creditor
of Vantage and has terminated its distribution agreement with Vantage effective
December 24, 2012. It is not currently providing a mechanism for Vantage authors
to claim or purchase their books. Vantage hopes to be able to provide a specific
protocol for authors to contact Ingram in the future, however, no such procedure
exists at this time.
Please note that if your book was published after the first half of 2010, it may have
been printed digitally on-demand by Ingram's digital printing affiliate, Lightning
Source. In these cases there may be only modest inventory on hand. Authors may
attempt to contact Lightning Source directly to print additional copies. Additional
costs from Lightning Source may apply.

.,Who has the rights to my book? Vantage continues to hold the rights to the books it published, subject to its various
publishing agreements. If you would like to reclaim these rights, please complete
and return two original executed copies of the Assignment and Release Agreement
no later than January 31, 2013. Upon receipt, an authorized representative of
Vantage will execute both copies and return one to you. Please consult your own !
legal counsel if you have any questions on the Assignment and Release Agreement.

Will Vantage pay me royalties on No, Vantage has no funds.


copies of my book that sold?

Is my book currently being sold? Vantage believes that Ingram Publisher Services stopped fulfilling orders for
Vantage titles on December 24, 2012 and is now only accepting returns of Vantage
titles from booksellers, until March 24, 2012.

Can I find out how many copies Please include a request for sales information along with the Assignment and
of my book have been sold? Release Agreement.

My book has not been published, Vantage stored print manuscript materials in its possession when it closed. Its
but was in process when general practice had been to scan copies of most printed material it received.
Vantage closed. Can I get my Authors seeking a return of source and production materials in print or electronic
materials back and any form may forward such requests to the contact above by January 31, 2013 along
production files? with two completed and executed copies of the Assignment and Release
Agreement. Pre-paid postage may be required.
The useabllity of digital files for publishing depends on the format available.
Portable Document Format (.pdf) files are typically used to output files for review, I
I
while lnDesign (.indd) files are the live production files to which changes and
corrections can be made. Vantage may not have all file versions of a book in its
possession.
Exhibit K
Demand Letter
LAW OFFICES OF
MARVIN GABLE
P.O. BOX 1630 NORTHAMPTON, MA 01061
(413) 268-6500 •PHONE 81 FAX
MARYi NCABLE.COM

May3,2013

David Lamb
271 Main Street, Suite 3
Great Barrington, MA 01230

Re: Watkins v. Vantage and Lamb

Dear Mr. Lamb:


This firm represents David Watkins (hereafter "Watkinsj regarding the
damages he sustained from his relationship with Vantage Press, Inc. (hereafter
"Vantagej. He is the author of the literary work, "Poetic Matters of Life" (hereafter
"Workj.
This is a formal demand letter sent pursuant to Massachusetts General Laws
(M.G.L.) Chapter (c.) 93A, Section (s.) 9. This letter is sent to you because of your
designation as the registered agent for Vantage. If you are not authorized to receive
this demand on behalf of Vantage, please provide this firm with the name and
address of the appropriate party to whom this demand letter should be remitted.
A copy of this letter has also been sent to Attorney Joseph B. Collins, of
Springfield, MA We are informed that he might represent you in this matter.
Additionally, a separate demand letter will be sent to Lamb in his personal capacity.
Please also review the following claims against Vantage as set forth in this
letter.
During contract negotiations, Vantage failed to disclose its financial situation.
This failure violated M.G.L. c.93A, s.9: "Regulation of Business Practices for
Consumers' Protection".
During contract negotiations, Vantage misrepresented its ability to fulfill
promises made within the contract. The misrepresentation occurred because of
Vantage's failure to disclose its financial situation. This failure also violated M.G.L. c.
93A, s.9.
Also, during contract negotiations, because Vantage failed to both disclose and
represent material facts, e.g. Vantage's likely inability to perform the services so
contracted, the formation of a contract never truly occurred.
May3,2013
Page2 of5

After a contract purportedly was formed, Vantage still did not disclose its
financial situation, nor its likely inability to fulfill its side of the contract Indeed,
Vantage eventually disclosed its financial situation, but only after it had ceased all
business operations.
Lastly, besides its failure to disclose and represent material facts, Vantage also
committed common law fraud.
This firm has investigated the facts as provided, by Watkins and through
Watkins's many documents, letters of correspondence, and other such materials
provided to this finn.
Beginning from February 2012, contract negotiations occurred between
Watkins and Vantage. During such time, no single mention, nor accurate
representation, was made by Vantage about its dire financial situation and its likely
inability to perform services as promised to Watkins.
The negotiations began after Watkins responded to one of Vantage's
advertisements, as seen by Watkins in a magazine. Vantage marketed the services of
"vanity publishing" in its advertisements. The advertisement targeted authors
wishing to have their literary works published in exchange for a fee. Watkins was so
interested in Vantage's services that he decided to contact them by phone.
Watkins negotiated with a representative of Vantage via a phone conversation.
After the phone negotiations, Watkins received marketing materials from Vantage
via post mail. Watkins reviewed these materials, then called Vantage again to
negotiate for its services.
On April 4, 2012, based on representations made during these negotiations,
Vantage Vice President of Author Relations Selina Peyser memorialized an
agreement in a memorandum. This memorandum provided the specific details of the
agreement between Watkins and Vantage, and detailed Watkins's payment of
$9,450.00 in return for Vantage's services. These services included Vantage's
publication of Work in book-bound form, as well as making the book form available
on "market-leading e-book platforms," in addition to Vantage's copy-editing, and
registering the copyright, to Work. Furthermore, the memorandum stated that
Vantage's services would be done within a specific period of time, specifically, the
production value of Work would be completed within a year ofWatkins's payment of
his fee to Vantage.
Watkins then contemplated the terms of the memorandum.
In reliance upon Ms. Peyser's verbal and written representations on behalf of
Vantage, Watkins signed a copy of the memorandum agreement He mailed the
executed agreement, along with a check for $9,450.00, made out to "Vantage Press".
May3,2013
Page 3of5

Watkins also provided a letter along with the agreement and check. In the
letter, he expressed his belief that "in good-faith ....Vantage press will carry through
[the agreement]". He also expressed his hesitation in entering into the contract with
Vantage, writing, "you probably can't imagine how neivous I am [to enter into this
contract]."
Internally, Vantage was struggling, financially-speaking. However, this
important fact was never relayed to Watkins during Vantage's negotiations with him.
The financial situation provided a real likelihood that Vantage may not have been
able to fulfill its obligations to Watkins as outlined in the agreement Also, Vantage's
representatives were fully aware of these limiting issues. Internally, the company had
been instituting drastic measures to combat its financial situation. Since 2010,
Vantage had been undergoing financial issues, which, had they been accurately
disclosed to Watkins, would have prompted Watkins to reconsider entering into
contract negotiations with Vantage.
Not disclosing a fact which may influence party from entering into an
agreement is considered a deceptive business practice and is also a violation of
M.G.L c.93A, s. 9 and 940 C.M.R § 3.16(2). See e.g., York v. Sullivan, 369 Mass. 157
(1975); Greenfield Country Estates Tenants Ass'n v. Deep, 423 Mass. 8 1, 84 (1996);
Commonwealth v. DeCotis, 366 Mass. 234 (1974). Furthermore, a party's deceptive
misrepresentation of its ability to perform services during contract during
negotiations is also violation of M.G.L c.93A, s. 9 and 940 C.M.R § 3.16(2). Id.
And that's not the whole story.
Even after contract negotiations were completed, assuming arguendo a
contract was formed, Vantage still did not disclose it's financial limitations to
Watkins.
A few weeks after Watkins tendered Vantage his monetary payment, Watkins
received a response from David Lamb, President of Vantage, (hereafter "Lamb")
expressing that the company has received his money and his signed agreement In
Lamb's letter to Watkins, no mention of Vantage's history of financial duress was
made. Moreover, Lamb expressed his confidence in Vantage personnel's ability to
satisfy the promises made to Watkins in its initial agreement with him. Lamb wrote
to Watkins that Vantage would "do our best to live up to your expectations". Lamb
even went on to write that if Mr. Watkins had "specific concerns or questions" to
contact him "personally". Once again, however, no mention was made to Watkins of
Vantage's financial woes, nor of the likely possibility of its inability to perform the
promises made on behalf of Vantage in its initial agreement with Watkins.
Meanwhile, Watkins made preparations for Work's imminent publication,
including notifying local bookstores, magazine editors, etc. of its publication date.
After.
. '.sev
< eral .·:tbs
. . man .... V-""'°"'
ni:i1:t~~ .. ,:n-
n~ .. , . . Of the status
m-A.·.·w curious
...~1;.:....s . 6""" . .· .Qf se
. · rvices
.J>YGntl~d bt Vantage hi tli• .a~ H~ lllade nufilef<JUs pholle calls to Vantage
r~ the status of W()rk;s pubU-.~on. Vantage representatives did not return
·any QfWatldns's pho.tle0 call1 totbe: c.c»npy. There.wasJittle: t<> noindication made
to Watkins.that Vantage bad actually:pedo~d at1Y of the 'Serviees promised to him.
lbe last converaati~u W~ bad with a Vantag;e repi:esentative was. in
Novembet·0012, with Sharon Pemtter~ She :assnr®.Wfttkins; v1a; phone, that, per the
~em.en~. the Work w®ld be<t~~ for pul>Ucation on mne, spedfiCany, in April
2013. Again, during het phone call with Watkins, there was no mention by Ms.
Pellitier ofVantage's pre$elitdil'e~anclal~ation.
·0,n. Pecember 19, 2012, a letter from Attorney Collins and addressed to
Watkl.ns, a<htlsed Watki,ns that Vantage bad ·"'~· all l:>usiness operations" on
account: of'.:tts financial hardships. Th.is ~ttUnunication oceutted only a few weeks
.aftet:Watkbts's last conversatiott With V.a.ntage.
Con~ to the p~ot' representations ·maae by Vantage and its agents, there
~ Uttle chance that Watkins's g>.ntract could ever, or would ever, be successfully
. .,..,p~\il.P~
ci)ri'i'1""'4.nA rthetertrts ,of"1..·e····"'tiaJ·.
:J.J.,• uu . · •· · ment:with
. a,gree .. . .~~
V.pntotre.

Watkins has elel)mented'.' :·a 'lQis bf '.$9,4600.00, plus othet expenses. These
~eaJnc:lude, butare ~~limiWl tGt Jep'Ltee-s incurted ~Y thiafinn. Watkins has
~Q'. ~~ced a Jo~~£~~ p~ty h).... ~ga.rds ,to #to~g and
pulJlis'bingWork.
In light of the cle,a.r mi~. ol>vioµ' violati(Jns ()f law and d~ag~ cause by
V~tage, this· office requests Vantage .settle these liabilities. Specifieally, this firm

·ad,dlti~Jl1. ~is firm d~4s


recouped by Watkins.
V••
dettlllllds. Vantage proVide~ ft>r .treble damages• <>f $9,450.00~ totaling $28i350.00. In
provide ~asonable legal fees incurred be

Nt. G~L c.93A, s~~ all(;'tW$·•ftr ~ :(30) d'Y$ froxn ·~ receipt ofthis letter for
the :r~den:t to proffer.iLreasonable te~der of.8ettlemen.t:18ilure to do so may, by
itself, expose Vantage to· m\tltiple· damages, in .addition to the remuneration of
·t¢~P®t~ ~mey's fe~ Ui~'cl by ~w Oftices of MarVin Cable for the
pro~tro~ of this action. ·
lloit ;JQrward to ygµr ·~~JQuse,..
~ • • >
May3,2013
Page 5of5

cc: Joseph B. Collins


101 State Street
Springfield, MA 01102

David Watkins
401 WWashington
St James, MO 65559

1011 2970 oooa 5574 1254


I
LAW OFFICES OF
MARVIN GABLE
P.O. Box 1630 NORTHAMPTON , MA 01061
( 41 3) 268-6500 - PHONE & FAX
MARVINCABLE.COM 7011 2970 DO DD 557 4 1254

David Lamb
271 Main Street, Suite 3
Great Barrington, MA 01230
.,

, ---··-~-- ~'<'<,..-
,''

SENDER: COMPLETE THIS SECTION COMPLETE THIS SECTION ON DELIVERY

• Complete items 1, 2, and 3. Also complete A . Signature


item 4 if Restricted Delivery is desired. D .f,gent
• Print your name and address on the reverse x D Addressee
so that we can ·return the card to you. B. Received by (Printed Name) C. Date ofDelivery
• Attach this card to the back of the mailpiece,
or on the front.if s~ce permits. ·
D. Is delivery' address different from item 1? D Yes
f, Articie Addressed to:
If YES, enter delivery address below: Cl No

E>avid tamb
271 M~in Street, S~ite 31..!;:=3.=~=.e=Ty=pe========
Great Barringtqn, MA ·0123 ~::~~!an ~~~;~sR~~:pt tor Merchandise g
d lnsu.red Mail D C.O.D. i
4. Restricted Delivery? (Extra Fee) DYes
2. ArtJcle Number
(Trans fer from service label)

PS Form 3811 , February 2004 Domestic Return Receipt ,,


102595·02·M·1540 ':

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