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Home My WebLink AboutReports - 2019.09.19 - 32243Northern Trust Table of Contents Class Action Event Summary by Event Status Class Action Event Summary by Event Name Class Action Event Detail by Event Name Class Action Filed Activity by Event Name Class Action Activity Detail by Event Name Class Action Filed Activity by Event Status Class Action Proceeds Received Report Class Action Event Detail by Event Status Class Action Activity Detail by Event Status Class Action Proceeds by Class Class Action Proceeds by Account Class Action Tran Hist Non-Filed by Event Name 2 4 6 33 35 36 38 40 67 68 69 70 Class Action Services Page 1 of 2 u Class Action Event Summary by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ MEDLEY CAPITAL CORPORATION (D. C. C.)09 Aug 18 10 Sep 19 03 Oct 1912 Sep 19OPEN www.medleycapitalsettlement.comA.B. DATA, LTD. BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 1911 Sep 19NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 1912 Sep 19NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY FIFTH ST FIN CORP/FITH ST SR FLTG RATE 29 Mar 13 31 Dec 14 29 Nov 19 24 Jul 1911 Sep 19NOTIFIED www.fifthstreetfairfund.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS FLOWERS FOODS, INC.06 Feb 13 08 Nov 16 03 Jan 20 20 Nov 19 20 Nov 1910 Sep 19NOTIFIED www.flowerssecuritieslitigation.com/A.B. DATA, LTD. HANDY & HARMAN LIMITED (DEL CHANCERY CT)26 Jun 17 31 Oct 17 30 Oct 1904 Sep 19NOTIFIED www.handyharmanstockholderlitigation.comKURTZMAN CARSON CONSULTANTS INFORMATIONAL ONLY IOOF HLDGS. LTD. (AUS) (QUINN EMANUEL)27 May 15 06 Dec 18 01 Dec 1910 Sep 19NOTIFIED www.ioofclassaction.com.au/registration-REGENCY GROUP INFORMATIONAL ONLY LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 1911 Sep 19NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALDINFORMATIONAL ONLY PHISON ELECTRONICS CORP. (TAIWAN) (2019)13 Nov 14 13 May 15 12 Sep 1910 Sep 19NOTIFIED www.sfipc.org.tw/mainweb/article.aspx?lSFPIC INFORMATIONAL ONLY QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 1906 Sep 19NOTIFIED www.quantumsecuritieslitigation.comAB DATA WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 1912 Sep 19NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY DIPLOMAT PHARMACY INC. (2) (2016)26 Feb 16 31 Jan 17 23 Sep 19 30 Jul 19 30 Jul 1911 Sep 19FILED www.diplomatsecuritiessettlement.comGILARDI SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 1906 Sep 19FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 1903 Sep 19FILED www.tabernafairfund.comRUST Class Action Services Page 2 of 2 u Class Action Event Summary by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 1913 Sep 19FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 1603 Sep 19DISBURSING www.gmsecuritieslitigation.comGARDEN CITY MAXWELL TECHNOLOGIES INC SEC FAIRFUND 26 Feb 12 19 Mar 13 31 Jul 19 27 Jun 19 05 Sep 19DISBURSING www.maxwellfairfund.comEPIQ SYSTEMS, INC. STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 1804 Sep 19DISBURSING www.straightpathsecuritieslitigation.comAB DATA UTI WORLDWIDE INC.27 Mar 13 27 May 14 18 Dec 18 05 Feb 19 05 Feb 1910 Sep 19DISBURSING www.utiworldwidesettlement.comKURTZMAN CARSON CONSULTANTS BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 1911 Sep 19CLOSED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS INC JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 1912 Sep 19CLOSED www.sfipc.org.twSFIPC Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 2 u Class Action Event Summary by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 1911 Sep 19CLOSED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS INC BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 1911 Sep 19NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 1912 Sep 19NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY DIPLOMAT PHARMACY INC. (2) (2016)26 Feb 16 31 Jan 17 23 Sep 19 30 Jul 19 30 Jul 1911 Sep 19FILED www.diplomatsecuritiessettlement.comGILARDI FIFTH ST FIN CORP/FITH ST SR FLTG RATE 29 Mar 13 31 Dec 14 29 Nov 19 24 Jul 1911 Sep 19NOTIFIED www.fifthstreetfairfund.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS FLOWERS FOODS, INC.06 Feb 13 08 Nov 16 03 Jan 20 20 Nov 19 20 Nov 1910 Sep 19NOTIFIED www.flowerssecuritieslitigation.com/A.B. DATA, LTD. GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 1603 Sep 19DISBURSING www.gmsecuritieslitigation.comGARDEN CITY HANDY & HARMAN LIMITED (DEL CHANCERY CT)26 Jun 17 31 Oct 17 30 Oct 1904 Sep 19NOTIFIED www.handyharmanstockholderlitigation.comKURTZMAN CARSON CONSULTANTS INFORMATIONAL ONLY IOOF HLDGS. LTD. (AUS) (QUINN EMANUEL)27 May 15 06 Dec 18 01 Dec 1910 Sep 19NOTIFIED www.ioofclassaction.com.au/registration-REGENCY GROUP INFORMATIONAL ONLY JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 1912 Sep 19CLOSED www.sfipc.org.twSFIPC LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 1911 Sep 19NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALDINFORMATIONAL ONLY MAXWELL TECHNOLOGIES INC SEC FAIRFUND 26 Feb 12 19 Mar 13 31 Jul 19 27 Jun 19 05 Sep 19DISBURSING www.maxwellfairfund.comEPIQ SYSTEMS, INC. MEDLEY CAPITAL CORPORATION (D. C. C.)09 Aug 18 10 Sep 19 03 Oct 1912 Sep 19OPEN www.medleycapitalsettlement.comA.B. DATA, LTD. PHISON ELECTRONICS CORP. (TAIWAN) (2019)13 Nov 14 13 May 15 12 Sep 1910 Sep 19NOTIFIED www.sfipc.org.tw/mainweb/article.aspx?lSFPIC INFORMATIONAL ONLY Class Action Services Page 2 of 2 u Class Action Event Summary by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 1906 Sep 19NOTIFIED www.quantumsecuritieslitigation.comAB DATA SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 1906 Sep 19FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 1804 Sep 19DISBURSING www.straightpathsecuritieslitigation.comAB DATA TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 1903 Sep 19FILED www.tabernafairfund.comRUST THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 1913 Sep 19FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS UTI WORLDWIDE INC.27 Mar 13 27 May 14 18 Dec 18 05 Feb 19 05 Feb 1910 Sep 19DISBURSING www.utiworldwidesettlement.comKURTZMAN CARSON CONSULTANTS WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 1912 Sep 19NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding CLOSED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS INC SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG BFWMXY3 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00FSK0 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00JWQ6 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B294051 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B7RL3L6 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594603039 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594604029 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460402 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460303 BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Class Action Services Page 2 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS CUSIP 07 Aug 14 25 Oct 16 ACI00E8V8 CUSIP 07 Aug 14 25 Oct 16 ACI00FHV5 CUSIP 07 Aug 14 25 Oct 16 BDDWM2909 CUSIP 07 Aug 14 25 Oct 16 BDDWNG907 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG BFWMXY3 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00FSK0 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00JWQ6 CUSIP 07 Aug 14 25 Oct 16 B051HM906 CUSIP 07 Aug 14 25 Oct 16 B2NGW6907 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B294051 CUSIP 07 Aug 14 25 Oct 16 B29405907 Class Action Services Page 3 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS CUSIP 07 Aug 14 25 Oct 16 B51L03905 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B7RL3L6 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594601058 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR US0594602049 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594603039 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594604029 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460105 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460402 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR 2020028 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR 059460204 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460303 Class Action Services Page 4 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY ISIN 30 May 12 30 Nov 15 BROKEN HILL PROPRIETARY CO COM ISIN# AU000000BHP4 SEDOL 30 May 12 30 Nov 15 BHP GROUP LTD NPV BJ05290 SEDOL 30 May 12 30 Nov 15 BHP GROUP PLC USD0.50 BRTM7L5 SEDOL 30 May 12 30 Nov 15 ##BHP BILLITON LTD SHS## DO NOT USE B02KCV2 SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 B02S6G9 ISIN 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 GB0000566504 CUSIP 30 May 12 30 Nov 15 BILLITON PLC COM STK G10877101 CUSIP 30 May 12 30 Nov 15 ##BHP BILLITON LTD SHS## DO NOT USE Q1498M100 SEDOL 30 May 12 30 Nov 15 BILLITON PLC COM STK 0056650 SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 4878333 SEDOL 30 May 12 30 Nov 15 BHP GROUP LTD NPV 5709506 Class Action Services Page 5 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 6016777 SEDOL 30 May 12 30 Nov 15 BHP GROUP LIMITED 6144690 SEDOL 30 May 12 30 Nov 15 BHP BILLITON LIMITED ORD NPV 0144403 CUSIP 30 May 12 30 Nov 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 DIPLOMAT PHARMACY INC. (2) (2016)26 Feb 16 31 Jan 17 23 Sep 19 30 Jul 19 30 Jul 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding FILED www.diplomatsecuritiessettlement.comGILARDI SEDOL 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16BRB38H9 SEDOL 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16BRJFXB6 ISIN 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16US25456K1016 CUSIP 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 1625456K101 Class Action Services Page 6 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ FIFTH ST FIN CORP/FITH ST SR FLTG RATE 29 Mar 13 31 Dec 14 29 Nov 19 24 Jul 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED www.fifthstreetfairfund.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE BC9SJL2 SEDOL 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 B39W7B7 SEDOL 29 Mar 13 31 Dec 14 FIFTH ST FIN CORP COM B39ZHS3 ISIN 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 US31678A1034 CUSIP 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 31678A103 CUSIP 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE 31679F101 ISIN 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE US31679F1012 CUSIP 29 Mar 13 31 Dec 14 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 FLOWERS FOODS, INC.06 Feb 13 08 Nov 16 03 Jan 20 20 Nov 19 20 Nov 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.flowerssecuritieslitigation.com/A.B. DATA, LTD. ISIN 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM US3434981011 Class Action Services Page 7 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ FLOWERS FOODS, INC.06 Feb 13 08 Nov 16 03 Jan 20 20 Nov 19 20 Nov 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.flowerssecuritieslitigation.com/A.B. DATA, LTD. SEDOL 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 2744243 SEDOL 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 7603703 CUSIP 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 343498101 GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP 8.375% PLAN OF 370442BT1 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO WT EXP 7/10/19 37045V126 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 8.8% 01 MAR 2021 370442AJ4 CUSIP 01 Nov 10 24 Jul 14 #RERG/OHIO PLN OF LIQ-DIST ESC 6066934 677596AU2 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ ESCROW 6066942 370442717 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 8.25% 15 JUL 2023 370442BW4 Class Action Services Page 8 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP SR NT PLAN OF 370442766 CUSIP 01 Nov 10 24 Jul 14 #RERG/OHIO PLN OF LIQ DIST GEN MTR 67759ABC2 CUSIP 01 Nov 10 24 Jul 14 MICHIGAN ST STRATEGIC FD POLLUTION CTL 594693AQ6 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLAN OF LIQUIDATION 370442BS3 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP QUARTERLY INT BD QUIBS 370442816 CUSIP 01 Nov 10 24 Jul 14 #RERG/GEN PLN OF LIQDN ESCROW GM 6066944 370442733 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP SR NT 370442121 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC758 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC816 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC774 CUSIP 01 Nov 10 24 Jul 14 ESCROW GMCORP SR CONV 06/01/2009 370ESC766 Class Action Services Page 9 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP SR DEB CONV SER A 370442741 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B3SMT78 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B3V3YY0 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B4R3883 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ ESCROW 6066948 370442AV7 CUSIP 01 Nov 10 24 Jul 14 MOTORS LIQUIDATION COMPANY 8.375% U37044AR2 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESCBT1 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC121 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC733 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC741 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 7.7% 15 APR 2016 370442AU9 Class Action Services Page 10 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ-DIST ESCROW 370442725 CUSIP 01 Nov 10 24 Jul 14 #REORG/GEN PLN OF LIQ-DIS ESCROW 6066883 370442BB0 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 6.75% 01 MAY 2028 370442AZ8 CUSIP 01 Nov 10 24 Jul 14 CORPORATE BACKED TR CTFS 21988G858 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL MAND CONVERSION GENERAL 37045V209 CUSIP 01 Nov 10 24 Jul 14 MOTORS LIQ CO GUC TR COM 62010U101 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO WT EXP 7/10/16 37045V118 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP SR NT PLAN OF 370442758 CUSIP 01 Nov 10 24 Jul 14 GENERAL MOTORS ACCEPTANCE CORP 7.4% DEBS 370442AR6 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP DISC DEB PLAN 370442AT2 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP 7.25% PFD PLAN 370442774 Class Action Services Page 11 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B665KZ5 ISIN 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM US37045V1008 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM 37045V100 HANDY & HARMAN LIMITED (DEL CHANCERY CT)26 Jun 17 31 Oct 17 30 Oct 19 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding NOTIFIED www.handyharmanstockholderlitigation.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY SEDOL 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL B0FZHQ4 ISIN 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL US4103151050 ISIN 26 Jun 17 31 Oct 17 STEEL PARTNERS HLDGS L P PFD UNIT SER A US85814R2067 CUSIP 26 Jun 17 31 Oct 17 STEEL PARTNERS HLDGS L P PFD UNIT SER A 85814R206 CUSIP 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL 410315105 Class Action Services Page 12 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ IOOF HLDGS. LTD. (AUS) (QUINN EMANUEL)27 May 15 06 Dec 18 01 Dec 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.ioofclassaction.com.au/registration-REGENCY GROUP INFORMATIONAL ONLY ISIN 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV AU000000IFL2 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LTD NPV B05PKF4 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LTD NPV B1HKCL4 CINS 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV Q49809108 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV 6714394 CUSIP 27 May 15 06 Dec 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding CLOSED www.sfipc.org.twSFIPC SEDOL 24 Mar 15 31 Mar 15 JHEN VEI ELECTRONIC CO LTD TWD10 B1C1XH5 ISIN 24 Mar 15 31 Mar 15 JHEN VEI ELECTRONIC CO LTD TWD10 TW0003520003 CINS 24 Mar 15 31 Mar 15 Y4439B119 Class Action Services Page 13 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding CLOSED www.sfipc.org.twSFIPC CUSIP 24 Mar 15 31 Mar 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY ISIN 17 Oct 17 25 Feb 19 LEND LEASE CORP NPV(LON REG) AU000000LLC3 SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORP LTD NPV (STAPLED) BHZLLF8 SEDOL 17 Oct 17 25 Feb 19 LEND LEASE FIN LTD B02P251 CUSIP 17 Oct 17 25 Feb 19 LEND LEASE FIN LTD Q55368114 ISIN 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED US5260232054 SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED 2586768 SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED NPV 6512004 SEDOL 17 Oct 17 25 Feb 19 LEND LEASE GROUP NPV 6522122 Class Action Services Page 14 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY SEDOL 17 Oct 17 25 Feb 19 LEND LEASE GROUP NPV 5289815 CUSIP 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED 526023205 MAXWELL TECHNOLOGIES INC SEC FAIRFUND 26 Feb 12 19 Mar 13 31 Jul 19 27 Jun 19 Security ID Type Security ID Class Start Class End 05 Sep 19 Specific Holding DISBURSING www.maxwellfairfund.comEPIQ SYSTEMS, INC. CUSIP 26 Feb 12 19 Mar 13 MAXWELL TECHNOLOGIES INC COM STK USD0.10 577767106 MEDLEY CAPITAL CORPORATION (D. C. C.)09 Aug 18 10 Sep 19 03 Oct 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding OPEN www.medleycapitalsettlement.comA.B. DATA, LTD. SEDOL 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM BD71XB8 SEDOL 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM B451X51 ISIN 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM US58503F1066 Class Action Services Page 15 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ MEDLEY CAPITAL CORPORATION (D. C. C.)09 Aug 18 10 Sep 19 03 Oct 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding OPEN www.medleycapitalsettlement.comA.B. DATA, LTD. CUSIP 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM 58503F106 PHISON ELECTRONICS CORP. (TAIWAN) (2019)13 Nov 14 13 May 15 12 Sep 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.sfipc.org.tw/mainweb/article.aspx?lSFPIC INFORMATIONAL ONLY SEDOL 13 Nov 14 13 May 15 PHISON ELECTRONICS TWD10 B131M77 ISIN 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 TW0008299009 CINS 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 Y7136T101 SEDOL 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 6728469 CUSIP 13 Nov 14 13 May 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding NOTIFIED www.quantumsecuritieslitigation.comAB DATA Class Action Services Page 16 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding NOTIFIED www.quantumsecuritieslitigation.comAB DATA SEDOL 15 Apr 16 09 May 18 QUANTUM CORP COM NEW BF00V90 ISIN 15 Apr 16 09 May 18 #REORG/QUANTUM CORP REVERSE STOCK SPLIT US7479062041 ISIN 15 Apr 16 09 May 18 QUANTUM CORP COM 144A US7479064021 ISIN 15 Apr 16 09 May 18 QUANTUM CORP COM NEW US7479065010 CUSIP 15 Apr 16 09 May 18 QUANTUM CORP COM 144A 747906402 CUSIP 15 Apr 16 09 May 18 #REORG/QUANTUM CORP REVERSE STOCK SPLIT 747906204 CUSIP 15 Apr 16 09 May 18 QUANTUM CORP COM NEW 747906501 SEDOL 15 Apr 16 09 May 18 QUANTUM CORP DSSG COM 5748048 SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 BJ053V9 Class Action Services Page 17 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 BSJC927 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 B1SNWP6 ISIN 15 Oct 14 14 Jul 15 SANDISK CORP COM US80004C1018 SEDOL 15 Oct 14 14 Jul 15 SHORT SELL SANDISK CORP 2765802 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM 5784428 CUSIP 15 Oct 14 14 Jul 15 SANDISK CORP COM 80004C101 STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 18 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding DISBURSING www.straightpathsecuritieslitigation.comAB DATA SEDOL 31 Jul 13 21 Oct 16 STRAIGHT PATH COMMUNICATIONS INC CL B BYPCMD5 ISIN 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 US8625781013 SEDOL 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 BCDYWX9 Class Action Services Page 18 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 18 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding DISBURSING www.straightpathsecuritieslitigation.comAB DATA CUSIP 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 862578101 TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD 87330WAD9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAE7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAF4 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAA0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAB8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAF9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAG7 Class Action Services Page 19 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAH5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAJ1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAA9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAB7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAC5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD/TABERNA PFD FDG 1 87330UAD3 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAA5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD 2005-3A CL A1C 87330WAC1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD FLTG RT SER 87330WAL1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAB9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAC7 Class Action Services Page 20 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD SER 2005-4A CLS A 87330YAD5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAE3 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAK9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD/TABERNA 144A FLTR 87331AAA2 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD SER 2006-6A CL 87331AAB0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD / TABERNA PFD FDG 87331AAF1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD NT SER 2006-5A CL 87331BAA0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD / TABERNA PFD 87331BAB8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAA2 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAC8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAH7 Class Action Services Page 21 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 BCC0URET9 CUSIP 05 Feb 09 31 Dec 18 BCC0ZMWV0 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG B0CGX28 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG B0XNN40 SEDOL 05 Feb 09 31 Dec 18 TABERNA EUROPE I FRN CLO 01/2038 EUR B1P8D40 SEDOL 05 Feb 09 31 Dec 18 TABERNA EUROPE II FRN CDO 11/2038 EUR ' B24HV63 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD B7D5LC9 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG B7WPZJ5 ISIN 05 Feb 09 31 Dec 18 KY87331XAC82 ISIN 05 Feb 09 31 Dec 18 KY87331XAH79 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAA03 Class Action Services Page 22 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAB85 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAF99 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAG72 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAH55 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAJ12 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAA97 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAB70 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAC53 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD/TABERNA PFD FDG 1 US87330UAD37 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAA53 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD 2005-3A CL A1C US87330WAC10 Class Action Services Page 23 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD US87330WAD92 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAE75 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAF41 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD 873315AA3 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD FLTG RT SER US87330WAL19 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAB92 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAC75 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD SER 2005-4A CLS A US87330YAD58 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAE32 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAK91 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD/TABERNA 144A FLTR US87331AAA25 Class Action Services Page 24 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD SER 2006-6A CL US87331AAB08 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD / TABERNA PFD FDG US87331AAF12 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD NT SER 2006-5A CL US87331BAA08 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD / TABERNA PFD US87331BAB80 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG US87331XAA28 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD US873315AA32 ISIN 05 Feb 09 31 Dec 18 TABERNA EUROPE I FRN CLO 01/2038 EUR XS0278156004 ISIN 05 Feb 09 31 Dec 18 TABERNA EUROPE II FRN CDO 11/2038 EUR ' XS0311581762 THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 19 Security ID Type Security ID Class Start Class End 13 Sep 19 Specific Holding FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 2897222 Class Action Services Page 25 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 19 Security ID Type Security ID Class Start Class End 13 Sep 19 Specific Holding FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT BJ05524 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT B04S559 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT B043KB5 ISIN 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW CA8911605092 ISIN 02 Dec 15 07 Jun 17 US8911605090 SEDOL 02 Dec 15 07 Jun 17 TORONTO-DOMINION BANK COM NPV 0897547 SEDOL 02 Dec 15 07 Jun 17 TORONTO-DOMINION BANK COM NPV 2042516 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 5705719 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 6897671 CUSIP 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 891160509 Class Action Services Page 26 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ UTI WORLDWIDE INC.27 Mar 13 27 May 14 18 Dec 18 05 Feb 19 05 Feb 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding DISBURSING www.utiworldwidesettlement.comKURTZMAN CARSON CONSULTANTS SEDOL 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN 2676368 SEDOL 27 Mar 13 27 May 14 5390784 SEDOL 27 Mar 13 27 May 14 UTI WORLDWIDE INC COM NPV B1HK2W5 ISIN 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN VGG872101032 CUSIP 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN G87210103 WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BDQZKB0 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BGPKGB9 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BHZKVY4 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV B28N7D6 Class Action Services Page 27 of 27 u Class Action Event Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV B3BPL45 ISIN 31 Dec 13 01 Feb 19 WIRECARD AG NPV DE0007472060 CINS 31 Dec 13 01 Feb 19 WIRECARD AG NPV D22359133 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV 7508927 CUSIP 31 Dec 13 01 Feb 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 2 u Class Action Filed Activity by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Sep 19 CV FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Price Net Currency Account Name 2625873 80004C101 CUSIP 15 Oct 14 OPNHOLD 1,100.00 0.000000 0.00 OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 19 Nov 14 PURCHASE 60.00 98.045000 -5,882.70 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 83.073000 -24,921.90 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 200.00 81.833900 -16,366.78 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 100.00 82.050300 -8,205.03 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 83.259600 -24,977.88 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 200.00 82.543800 -16,508.76 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 81.522800 -32,609.12 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 28 Jan 15 SALE -120.00 78.040750 9,364.89 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 24 Feb 15 SALE -1,600.00 80.134819 128,215.71 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 14 Jul 15 CLSHOLD1 940.00 0.000000 0.00 OAK ERS - T.ROWE PRICE 2626004 80004C101 CUSIP 15 Oct 14 OPNHOLD 1,800.00 0.000000 0.00 OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 600.00 81.522800 -48,913.68 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 100.00 82.250000 -8,225.00 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 500.00 83.259600 -41,629.80 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 81.833900 -32,733.56 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 83.073000 -33,229.20 USD OAK VEBA - T.ROWE PRICE Class Action Services Page 2 of 2 u Class Action Filed Activity by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Sep 19 CV FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Price Net Currency Account Name 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 82.543800 -24,763.14 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 24 Feb 15 SALE -2,600.00 80.134823 208,350.54 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 14 Jul 15 CLSHOLD1 1,500.00 0.000000 0.00 OAK VEBA - T.ROWE PRICE Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 1 u Class Action Activity Detail by Event Name Class Action Name Event Status Event Status As Of Class Start Class End Filing Deadline Objection/ Exclusion Deadline Claims Admin Name Web Address SANDISK CORP (N/K/A SANDISK LLC)(2015)FILED 06 Sep 19 15 Oct 14 14 Jul 15 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 12 Sep 19 05 Sep 19 05 Sep 19 Epiq Class Action & Claims Solutions www.SanDiskSecuritiesLitigation.co m Amount 2625873 06 Sep 19 FILED OAK ERS - T.ROWE PRICE 2626004 06 Sep 19 FILED OAK VEBA - T.ROWE PRICE Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 2 u Class Action Filed Activity by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Sep 19 CV FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Price Net Currency Account Name 2625873 80004C101 CUSIP 15 Oct 14 OPNHOLD 1,100.00 0.000000 0.00 OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 19 Nov 14 PURCHASE 60.00 98.045000 -5,882.70 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 81.522800 -32,609.12 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 200.00 82.543800 -16,508.76 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 83.259600 -24,977.88 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 100.00 82.050300 -8,205.03 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 200.00 81.833900 -16,366.78 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 83.073000 -24,921.90 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 28 Jan 15 SALE -120.00 78.040750 9,364.89 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 24 Feb 15 SALE -1,600.00 80.134819 128,215.71 USD OAK ERS - T.ROWE PRICE 2625873 80004C101 CUSIP 14 Jul 15 CLSHOLD1 940.00 0.000000 0.00 OAK ERS - T.ROWE PRICE 2626004 80004C101 CUSIP 15 Oct 14 OPNHOLD 1,800.00 0.000000 0.00 OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 300.00 82.543800 -24,763.14 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 83.073000 -33,229.20 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 400.00 81.833900 -32,733.56 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 500.00 83.259600 -41,629.80 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 100.00 82.250000 -8,225.00 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 13 Jan 15 PURCHASE 600.00 81.522800 -48,913.68 USD OAK VEBA - T.ROWE PRICE Class Action Services Page 2 of 2 u Class Action Filed Activity by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Sep 19 CV FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Price Net Currency Account Name 2626004 80004C101 CUSIP 24 Feb 15 SALE -2,600.00 80.134823 208,350.54 USD OAK VEBA - T.ROWE PRICE 2626004 80004C101 CUSIP 14 Jul 15 CLSHOLD1 1,500.00 0.000000 0.00 OAK VEBA - T.ROWE PRICE Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Multiple Accounts: OAKCSM,OAKCER,OAKCVE Page 1 of 2 01 Aug 19 - 31 Aug 19 Class Action Proceeds Received Reportu OAKCER 2625871 OAK ERS - TIMES SQUARE Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 27-Aug-19 #REORG/ARIAD PHARMACEUTICALS CASH MERGER 02-16-2017 04033A100 RECEIVED DISTRIBUTION FOR CLASS PERIOD 12/10/12 TO 03/13/13 ON NET CLASS SETTLEMENT FUND FOR ARIAD PHARMACEUTICALS SECURITIES LITIGATION CHECK# 1187 DTD 08/15/19 CLAIM# 250 PAYEE:OAKLAND CNTY EMP RET TR 48.52 0.00 TOTAL FOR OAK ERS - TIMES SQUARE 48.52 0.00 2625896 OAK ERS - RBC GLOBAL Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 16-Aug-19 OPUS BK IRVINE CALIF FORMERLY OPUS BK REDONDO BEACH CALIF TO 04/11/2014 COM 684000102 OPUS BANK RECEIVED DISTRIBUTION FOR CLASS PERIOD 01/23/2015 TO 05/01/2017 CASH DISTRIBUTION 1 FILED ACCOUNT 2625896 OAK ERS - RBC GLOBAL 6,026.99 0.00 TOTAL FOR OAK ERS - RBC GLOBAL 6,026.99 0.00 2625989 OAK VEBA - TIMES SQUARE Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 27-Aug-19 #REORG/ARIAD PHARMACEUTICALS CASH MERGER 02-16-2017 04033A100 RECEIVED DISTRIBUTION FOR CLASS PERIOD 12/10/12 TO 03/13/13 ON NET CLASS SETTLEMENT FUND FOR ARIAD PHARMACEUTICALS SECURITIES LITIGATION CHECK# 1188 DTD 08/15/19 CLAIM# 251 PAYEE: OAKLAND VOLUNTARY EMP BENEFIT ASSOC 56.60 0.00 TOTAL FOR OAK VEBA - TIMES SQUARE 56.60 0.00 2626015 OAK VEBA - RBC GLOBAL Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 16-Aug-19 OPUS BK IRVINE CALIF FORMERLY OPUS BK REDONDO BEACH CALIF TO 04/11/2014 COM 684000102 OPUS BANK RECEIVED DISTRIBUTION FOR CLASS PERIOD 01/23/2015 TO 05/01/2017 CASH DISTRIBUTION 1 FILED ACCOUNT 2626015 OAK VEBA - RBC GLOBAL 11,297.86 0.00 TOTAL FOR OAK VEBA - RBC GLOBAL 11,297.86 0.00 *Generated by Northern Trust from daily data on 13 Sep 19 C1536 Class Action Services Multiple Accounts: OAKCSM,OAKCER,OAKCVE Page 2 of 2 01 Aug 19 - 31 Aug 19 Class Action Proceeds Received Reportu OAKCVE GRAND TOTAL 17,429.97 0.00 Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. *Generated by Northern Trust from daily data on 13 Sep 19 C1536 Class Action Services Page 1 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ MEDLEY CAPITAL CORPORATION (D. C. C.)09 Aug 18 10 Sep 19 03 Oct 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding OPEN www.medleycapitalsettlement.comA.B. DATA, LTD. SEDOL 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM BD71XB8 SEDOL 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM B451X51 ISIN 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM US58503F1066 CUSIP 09 Aug 18 10 Sep 19 MEDLEY CAP CORP COM 58503F106 BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS CUSIP 07 Aug 14 25 Oct 16 ACI00E8V8 CUSIP 07 Aug 14 25 Oct 16 ACI00FHV5 CUSIP 07 Aug 14 25 Oct 16 BDDWM2909 CUSIP 07 Aug 14 25 Oct 16 BDDWNG907 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG BFWMXY3 Class Action Services Page 2 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00FSK0 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00JWQ6 CUSIP 07 Aug 14 25 Oct 16 B051HM906 CUSIP 07 Aug 14 25 Oct 16 B2NGW6907 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B294051 CUSIP 07 Aug 14 25 Oct 16 B29405907 CUSIP 07 Aug 14 25 Oct 16 B51L03905 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B7RL3L6 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594601058 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR US0594602049 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594603039 Class Action Services Page 3 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594604029 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460105 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460402 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR 2020028 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A ADR 059460204 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460303 BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY ISIN 30 May 12 30 Nov 15 BROKEN HILL PROPRIETARY CO COM ISIN# AU000000BHP4 SEDOL 30 May 12 30 Nov 15 BHP GROUP LTD NPV BJ05290 SEDOL 30 May 12 30 Nov 15 BHP GROUP PLC USD0.50 BRTM7L5 Class Action Services Page 4 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY SEDOL 30 May 12 30 Nov 15 ##BHP BILLITON LTD SHS## DO NOT USE B02KCV2 SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 B02S6G9 ISIN 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 GB0000566504 CUSIP 30 May 12 30 Nov 15 BILLITON PLC COM STK G10877101 CUSIP 30 May 12 30 Nov 15 ##BHP BILLITON LTD SHS## DO NOT USE Q1498M100 SEDOL 30 May 12 30 Nov 15 BILLITON PLC COM STK 0056650 SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 4878333 SEDOL 30 May 12 30 Nov 15 BHP GROUP LTD NPV 5709506 SEDOL 30 May 12 30 Nov 15 BHP BILLITON PLC USD0.50 6016777 SEDOL 30 May 12 30 Nov 15 BHP GROUP LIMITED 6144690 SEDOL 30 May 12 30 Nov 15 BHP BILLITON LIMITED ORD NPV 0144403 Class Action Services Page 5 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BHP BILITON LTD/PLC(AUS)(PHI FIN MCDON)30 May 12 30 Nov 15 01 Nov 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED www.bhpclassaction.comG&E KTMC INFORMATIONAL ONLY CUSIP 30 May 12 30 Nov 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 FIFTH ST FIN CORP/FITH ST SR FLTG RATE 29 Mar 13 31 Dec 14 29 Nov 19 24 Jul 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED www.fifthstreetfairfund.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE BC9SJL2 SEDOL 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 B39W7B7 SEDOL 29 Mar 13 31 Dec 14 FIFTH ST FIN CORP COM B39ZHS3 ISIN 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 US31678A1034 CUSIP 29 Mar 13 31 Dec 14 #REORG/ FIFTH ST NAME CHANGE OAKTREE 2L1 31678A103 CUSIP 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE 31679F101 ISIN 30 Aug 13 31 Dec 14 #REORG/ FIFTH STR SR NAME CHANGE OAKTREE US31679F1012 CUSIP 29 Mar 13 31 Dec 14 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 Class Action Services Page 6 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ FLOWERS FOODS, INC.06 Feb 13 08 Nov 16 03 Jan 20 20 Nov 19 20 Nov 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.flowerssecuritieslitigation.com/A.B. DATA, LTD. ISIN 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM US3434981011 SEDOL 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 2744243 SEDOL 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 7603703 CUSIP 06 Feb 13 08 Nov 16 FLOWERS FOODS INC COM 343498101 HANDY & HARMAN LIMITED (DEL CHANCERY CT)26 Jun 17 31 Oct 17 30 Oct 19 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding NOTIFIED www.handyharmanstockholderlitigation.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY CUSIP 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL 410315105 SEDOL 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL B0FZHQ4 ISIN 26 Jun 17 31 Oct 17 #REORG/HANDY & HARMAN STOCK MERGER STEEL US4103151050 ISIN 26 Jun 17 31 Oct 17 STEEL PARTNERS HLDGS L P PFD UNIT SER A US85814R2067 CUSIP 26 Jun 17 31 Oct 17 STEEL PARTNERS HLDGS L P PFD UNIT SER A 85814R206 Class Action Services Page 7 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ IOOF HLDGS. LTD. (AUS) (QUINN EMANUEL)27 May 15 06 Dec 18 01 Dec 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.ioofclassaction.com.au/registration-REGENCY GROUP INFORMATIONAL ONLY ISIN 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV AU000000IFL2 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LTD NPV B05PKF4 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LTD NPV B1HKCL4 CINS 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV Q49809108 SEDOL 27 May 15 06 Dec 18 IOOF HOLDINGS LIMITED NPV 6714394 CUSIP 27 May 15 06 Dec 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED NPV 6512004 ISIN 17 Oct 17 25 Feb 19 LEND LEASE CORP NPV(LON REG) AU000000LLC3 SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORP LTD NPV (STAPLED) BHZLLF8 Class Action Services Page 8 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ LENDLEASE CORPORATION LIMITED (AUS)17 Oct 17 25 Feb 19 01 Dec 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY SEDOL 17 Oct 17 25 Feb 19 LEND LEASE FIN LTD B02P251 CUSIP 17 Oct 17 25 Feb 19 LEND LEASE FIN LTD Q55368114 ISIN 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED US5260232054 SEDOL 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED 2586768 SEDOL 17 Oct 17 25 Feb 19 LEND LEASE GROUP NPV 6522122 SEDOL 17 Oct 17 25 Feb 19 LEND LEASE GROUP NPV 5289815 CUSIP 17 Oct 17 25 Feb 19 LENDLEASE CORPORATION LIMITED 526023205 PHISON ELECTRONICS CORP. (TAIWAN) (2019)13 Nov 14 13 May 15 12 Sep 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.sfipc.org.tw/mainweb/article.aspx?lSFPIC INFORMATIONAL ONLY SEDOL 13 Nov 14 13 May 15 PHISON ELECTRONICS TWD10 B131M77 ISIN 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 TW0008299009 Class Action Services Page 9 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ PHISON ELECTRONICS CORP. (TAIWAN) (2019)13 Nov 14 13 May 15 12 Sep 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding NOTIFIED www.sfipc.org.tw/mainweb/article.aspx?lSFPIC INFORMATIONAL ONLY CINS 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 Y7136T101 SEDOL 13 Nov 14 13 May 15 PHISON ELECTRONICS CORP TWD10 6728469 CUSIP 13 Nov 14 13 May 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding NOTIFIED www.quantumsecuritieslitigation.comAB DATA SEDOL 15 Apr 16 09 May 18 QUANTUM CORP COM NEW BF00V90 ISIN 15 Apr 16 09 May 18 #REORG/QUANTUM CORP REVERSE STOCK SPLIT US7479062041 ISIN 15 Apr 16 09 May 18 QUANTUM CORP COM 144A US7479064021 ISIN 15 Apr 16 09 May 18 QUANTUM CORP COM NEW US7479065010 CUSIP 15 Apr 16 09 May 18 QUANTUM CORP COM 144A 747906402 CUSIP 15 Apr 16 09 May 18 #REORG/QUANTUM CORP REVERSE STOCK SPLIT 747906204 Class Action Services Page 10 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ QUANTUM CORPORATION 15 Apr 16 09 May 18 13 Dec 19 24 Oct 19 24 Oct 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding NOTIFIED www.quantumsecuritieslitigation.comAB DATA CUSIP 15 Apr 16 09 May 18 QUANTUM CORP COM NEW 747906501 SEDOL 15 Apr 16 09 May 18 QUANTUM CORP DSSG COM 5748048 WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY ISIN 31 Dec 13 01 Feb 19 WIRECARD AG NPV DE0007472060 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BDQZKB0 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BGPKGB9 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV BHZKVY4 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV B28N7D6 SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV B3BPL45 CINS 31 Dec 13 01 Feb 19 WIRECARD AG NPV D22359133 Class Action Services Page 11 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ WIRECARD AG (GERMANY)31 Dec 13 01 Feb 19 31 Dec 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding NOTIFIED patrickd@rgrdlaw.comROBBINS GELLER RUDMAN & DOWDINFORMATIONAL ONLY SEDOL 31 Dec 13 01 Feb 19 WIRECARD AG NPV 7508927 CUSIP 31 Dec 13 01 Feb 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 DIPLOMAT PHARMACY INC. (2) (2016)26 Feb 16 31 Jan 17 23 Sep 19 30 Jul 19 30 Jul 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding FILED www.diplomatsecuritiessettlement.comGILARDI SEDOL 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16BRB38H9 SEDOL 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16BRJFXB6 ISIN 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 16US25456K1016 CUSIP 26 Feb 16 31 Jan 17 DIPLOMAT PHARMACY INC COM 03 Nov 1625456K101 SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS Class Action Services Page 12 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ SANDISK CORP (N/K/A SANDISK LLC)(2015)15 Oct 14 14 Jul 15 12 Sep 19 05 Sep 19 05 Sep 19 Security ID Type Security ID Class Start Class End 06 Sep 19 Specific Holding FILED www.sandisksecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS CUSIP 15 Oct 14 14 Jul 15 SANDISK CORP COM 80004C101 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 BJ053V9 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 BSJC927 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM USD0.001 B1SNWP6 ISIN 15 Oct 14 14 Jul 15 SANDISK CORP COM US80004C1018 SEDOL 15 Oct 14 14 Jul 15 SHORT SELL SANDISK CORP 2765802 SEDOL 15 Oct 14 14 Jul 15 SANDISK CORP COM 5784428 TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 ISIN 05 Feb 09 31 Dec 18 TABERNA EUROPE I FRN CLO 01/2038 EUR XS0278156004 Class Action Services Page 13 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA EUROPE II FRN CDO 11/2038 EUR ' XS0311581762 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD 87330WAD9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAE7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAF4 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAA0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAB8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAF9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAG7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAH5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG 87330PAJ1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAA9 Class Action Services Page 14 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAB7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG 87330UAC5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD/TABERNA PFD FDG 1 87330UAD3 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD 87330WAA5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD 2005-3A CL A1C 87330WAC1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD FLTG RT SER 87330WAL1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAB9 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAC7 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD SER 2005-4A CLS A 87330YAD5 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAE3 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG 87330YAK9 Class Action Services Page 15 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD/TABERNA 144A FLTR 87331AAA2 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD SER 2006-6A CL 87331AAB0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD / TABERNA PFD FDG 87331AAF1 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD NT SER 2006-5A CL 87331BAA0 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD / TABERNA PFD 87331BAB8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAA2 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAC8 CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG 87331XAH7 CUSIP 05 Feb 09 31 Dec 18 BCC0URET9 CUSIP 05 Feb 09 31 Dec 18 BCC0ZMWV0 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG B0CGX28 Class Action Services Page 16 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG B0XNN40 SEDOL 05 Feb 09 31 Dec 18 TABERNA EUROPE I FRN CLO 01/2038 EUR B1P8D40 SEDOL 05 Feb 09 31 Dec 18 TABERNA EUROPE II FRN CDO 11/2038 EUR ' B24HV63 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD B7D5LC9 SEDOL 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG B7WPZJ5 ISIN 05 Feb 09 31 Dec 18 KY87331XAC82 ISIN 05 Feb 09 31 Dec 18 KY87331XAH79 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAA03 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAB85 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAF99 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAG72 Class Action Services Page 17 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAH55 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG I LTD / TABERNA PFD FDG US87330PAJ12 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAA97 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAB70 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD / TABERNA PFD FDG US87330UAC53 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG II LTD/TABERNA PFD FDG 1 US87330UAD37 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAA53 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD 2005-3A CL A1C US87330WAC10 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD US87330WAD92 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAE75 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD / TABERNA PFD FD US87330WAF41 Class Action Services Page 18 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST CUSIP 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD 873315AA3 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG III LTD FLTG RT SER US87330WAL19 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAB92 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAC75 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD SER 2005-4A CLS A US87330YAD58 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAE32 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IV LTD / TABERNA PFD FDG US87330YAK91 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD/TABERNA 144A FLTR US87331AAA25 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD SER 2006-6A CL US87331AAB08 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VI LTD / TABERNA PFD FDG US87331AAF12 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD NT SER 2006-5A CL US87331BAA08 Class Action Services Page 19 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ TABERNA CAPITAL MGMT LLC (SEC FAIR FUND)05 Feb 09 31 Dec 18 12 Sep 19 07 Jan 19 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding FILED www.tabernafairfund.comRUST ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG V LTD / TABERNA PFD US87331BAB80 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG IX LTD / TABERNA PFD FDG US87331XAA28 ISIN 05 Feb 09 31 Dec 18 TABERNA PFD FDG VII LTD / TABERNA PFD US873315AA32 THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 19 Security ID Type Security ID Class Start Class End 13 Sep 19 Specific Holding FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 2897222 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT BJ05524 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT B04S559 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT FOR FUTURE DEBT B043KB5 ISIN 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW CA8911605092 ISIN 02 Dec 15 07 Jun 17 US8911605090 Class Action Services Page 20 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ THE TORONTO-DOMINION BANK 02 Dec 15 07 Jun 17 19 Sep 19 12 Sep 19 12 Sep 19 Security ID Type Security ID Class Start Class End 13 Sep 19 Specific Holding FILED torontodominionsecuritiessettlement.com/EPIQ CLASS ACTION & CLAIMS SOLUTIONS SEDOL 02 Dec 15 07 Jun 17 TORONTO-DOMINION BANK COM NPV 0897547 SEDOL 02 Dec 15 07 Jun 17 TORONTO-DOMINION BANK COM NPV 2042516 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 5705719 SEDOL 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 6897671 CUSIP 02 Dec 15 07 Jun 17 TORONTO DOMINION BK ONT COM NEW 891160509 GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP 8.375% PLAN OF 370442BT1 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO WT EXP 7/10/19 37045V126 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 8.8% 01 MAR 2021 370442AJ4 CUSIP 01 Nov 10 24 Jul 14 #RERG/OHIO PLN OF LIQ-DIST ESC 6066934 677596AU2 Class Action Services Page 21 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ ESCROW 6066942 370442717 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 8.25% 15 JUL 2023 370442BW4 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP SR NT PLAN OF 370442766 CUSIP 01 Nov 10 24 Jul 14 #RERG/OHIO PLN OF LIQ DIST GEN MTR 67759ABC2 CUSIP 01 Nov 10 24 Jul 14 MICHIGAN ST STRATEGIC FD POLLUTION CTL 594693AQ6 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLAN OF LIQUIDATION 370442BS3 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP QUARTERLY INT BD QUIBS 370442816 CUSIP 01 Nov 10 24 Jul 14 #RERG/GEN PLN OF LIQDN ESCROW GM 6066944 370442733 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP SR NT 370442121 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC758 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC816 Class Action Services Page 22 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC774 CUSIP 01 Nov 10 24 Jul 14 ESCROW GMCORP SR CONV 06/01/2009 370ESC766 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP SR DEB CONV SER A 370442741 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B3SMT78 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B3V3YY0 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B4R3883 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ ESCROW 6066948 370442AV7 CUSIP 01 Nov 10 24 Jul 14 MOTORS LIQUIDATION COMPANY 8.375% U37044AR2 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESCBT1 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC121 CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC733 Class Action Services Page 23 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 ESCROW GM CORP SR CONV 06/01/2009 370ESC741 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 7.7% 15 APR 2016 370442AU9 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL PLN OF LIQ-DIST ESCROW 370442725 CUSIP 01 Nov 10 24 Jul 14 #REORG/GEN PLN OF LIQ-DIS ESCROW 6066883 370442BB0 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CORP 6.75% 01 MAY 2028 370442AZ8 CUSIP 01 Nov 10 24 Jul 14 CORPORATE BACKED TR CTFS 21988G858 CUSIP 01 Nov 10 24 Jul 14 #REORG/GENERAL MAND CONVERSION GENERAL 37045V209 CUSIP 01 Nov 10 24 Jul 14 MOTORS LIQ CO GUC TR COM 62010U101 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO WT EXP 7/10/16 37045V118 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP SR NT PLAN OF 370442758 CUSIP 01 Nov 10 24 Jul 14 GENERAL MOTORS ACCEPTANCE CORP 7.4% DEBS 370442AR6 Class Action Services Page 24 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ GENERAL MOTORS COMPANY 01 Nov 10 24 Jul 14 27 Apr 16 23 Mar 16 23 Mar 16 Security ID Type Security ID Class Start Class End 03 Sep 19 Specific Holding DISBURSING www.gmsecuritieslitigation.comGARDEN CITY CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP DISC DEB PLAN 370442AT2 CUSIP 01 Nov 10 24 Jul 14 #REORG GENERAL MTRS CORP 7.25% PFD PLAN 370442774 SEDOL 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM B665KZ5 ISIN 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM US37045V1008 CUSIP 01 Nov 10 24 Jul 14 GENERAL MTRS CO COM 37045V100 MAXWELL TECHNOLOGIES INC SEC FAIRFUND 26 Feb 12 19 Mar 13 31 Jul 19 27 Jun 19 Security ID Type Security ID Class Start Class End 05 Sep 19 Specific Holding DISBURSING www.maxwellfairfund.comEPIQ SYSTEMS, INC. CUSIP 26 Feb 12 19 Mar 13 MAXWELL TECHNOLOGIES INC COM STK USD0.10 577767106 STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 18 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding DISBURSING www.straightpathsecuritieslitigation.comAB DATA Class Action Services Page 25 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ STRAIGHT PATH COMMUNICATIONS INC (2015)31 Jul 13 21 Oct 16 02 Aug 18 17 Aug 18 17 Aug 18 Security ID Type Security ID Class Start Class End 04 Sep 19 Specific Holding DISBURSING www.straightpathsecuritieslitigation.comAB DATA SEDOL 31 Jul 13 21 Oct 16 STRAIGHT PATH COMMUNICATIONS INC CL B BYPCMD5 ISIN 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 US8625781013 SEDOL 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 BCDYWX9 CUSIP 31 Jul 13 21 Oct 16 #REORG/STRAIGHT STOCK MERGER VERIZON 288 862578101 UTI WORLDWIDE INC.27 Mar 13 27 May 14 18 Dec 18 05 Feb 19 05 Feb 19 Security ID Type Security ID Class Start Class End 10 Sep 19 Specific Holding DISBURSING www.utiworldwidesettlement.comKURTZMAN CARSON CONSULTANTS SEDOL 27 Mar 13 27 May 14 5390784 SEDOL 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN 2676368 SEDOL 27 Mar 13 27 May 14 UTI WORLDWIDE INC COM NPV B1HK2W5 ISIN 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN VGG872101032 CUSIP 27 Mar 13 27 May 14 #REORG/UTI WORLDWIDE CASH MERGER 22 JAN G87210103 Class Action Services Page 26 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ BANCO BRADESCO S. A.07 Aug 14 25 Oct 16 21 Dec 19 23 Oct 19 23 Oct 19 Security ID Type Security ID Class Start Class End 11 Sep 19 Specific Holding CLOSED bancobradescosecuritieslitigation.comEPIQ CLASS ACTION & CLAIMS SOLUTIONS INC SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG BFWMXY3 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00FSK0 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B00JWQ6 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B294051 SEDOL 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG B7RL3L6 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594603039 ISIN 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG US0594604029 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460402 CUSIP 07 Aug 14 25 Oct 16 BANCO BRADESCO S A SPONSORED ADR REPSTG 059460303 JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding CLOSED www.sfipc.org.twSFIPC Class Action Services Page 27 of 27 u Class Action Event Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Claims Admin Name Web Address Filing Deadline Exclusion Deadline Objection/ JHEN VEI ELEC CO. LTD (TAI)INSIDER TRADE 24 Mar 15 31 Mar 15 30 Sep 19 Security ID Type Security ID Class Start Class End 12 Sep 19 Specific Holding CLOSED www.sfipc.org.twSFIPC SEDOL 24 Mar 15 31 Mar 15 JHEN VEI ELECTRONIC CO LTD TWD10 B1C1XH5 ISIN 24 Mar 15 31 Mar 15 JHEN VEI ELECTRONIC CO LTD TWD10 TW0003520003 CINS 24 Mar 15 31 Mar 15 Y4439B119 CUSIP 24 Mar 15 31 Mar 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Class Action Services Page 1 of 1 u Class Action Activity Detail by Event Status Class Action Name Event Status Event Status As Of Class Start Class End Filing Deadline Objection/ Exclusion Deadline Claims Admin Name Web Address SANDISK CORP (N/K/A SANDISK LLC)(2015)FILED 06 Sep 19 15 Oct 14 14 Jul 15 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 12 Sep 19 05 Sep 19 05 Sep 19 Epiq Class Action & Claims Solutions www.SanDiskSecuritiesLitigation.co m Amount 2625873 06 Sep 19 FILED OAK ERS - T.ROWE PRICE 2626004 06 Sep 19 FILED OAK VEBA - T.ROWE PRICE Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Page 1 of 1Class Action Proceeds by Class Class Action Name Event Status Event Status As Of Class Start Class End Filing Deadline Objection/ Exclusion Deadline Claims Admin Name Web Address Class Action Services OPUS BANK DISBRSNG JND LEGAL ADMIN www.opusbanksecuritieslitigation.com16 Aug 19 23 Jan 15 01 May 17 10 Jul 18 29 Jun 18 29 Jun 18 Claim Status Service ChargeGross Amt. PaidAccount Paid/DateDistribution/as of Date/Account Filed/ Processing ChargeNet Amt. PaidAccount Paid NameAccount Filed Name TypeClaim Status DistributedCurrency 2625896 OAK ERS - RBC GLOBAL PAID 2625896 OAK ERS - RBC GLOBAL 6,026.99 5,906.46 120.53 0.00 1 CASH 16 Aug 19 16 Aug 19USD 2626015 OAK VEBA - RBC GLOBAL PAID 2626015 OAK VEBA - RBC GLOBAL 11,297.86 11,071.91 225.95 0.00 1 CASH 16 Aug 19 16 Aug 19USD 346.48 17,324.85OPUS BANKTotals 0.00 16,978.37and Currency USD Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. 9/13/2019 9:46:49AM Page 1 of 1 Account Paid Class Action Name Gross Amount PaidAccount Paid Name Class Action Services Class Action Proceeds by Account Net Amount Paid Service Charge Processing Charge Date DistributedCurrency 2625896 OAK ERS - RBC GLOBAL OPUS BANK 6,026.99 5,906.46 120.53 0.00 16 Aug 19USD 0.00 120.53 5,906.46 6,026.99Sub Total and Currency USD2625896 2626015 OAK VEBA - RBC GLOBAL OPUS BANK 11,297.86 11,071.91 225.95 0.00 16 Aug 19USD 0.00 225.95 11,071.91 11,297.86Sub Total and Currency USD2626015 Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. 9/13/2019 9:46:49AM Class Action Services u Class Action Tran Hist Non-Filed by Event Name Page 1 of 1 Message: No information found for request. User Selection: TNT Event Status (Notified, Closed or All) = All Class Action Names for ECA Reporting = 0 Status As Of Date = 08/31/2019 Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from, categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report. Account number *Generated by Northern Trust at 13 Sep 19 09:46