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HomeMy WebLinkAboutReports - 2019.11.21 - 32673Northern Trust Table of Contents Class Action Activity Detail by Event Name Class Action Event Summary by Event Name Class Action Event Detail by Event Name Class Action Filed Activity by Event Name Class Action Proceeds Received Report Class Action Filed Activity by Event Status Class Action Event Summary by Event Status 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 3 4 33 34 35 36 37 66 67 68 69 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 FRESHPET, INC.NOTIFIED 11 Dec 19 31 Mar 15 09 Feb 16 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 18 Feb 20 12 Feb 20 12 Feb 20 Gilardi www.freshpetsecuritiessettlement. com Amount 2625874 11 Dec 19 TO BE FILED OAK ERS - LOOMIS SAYLES SM 2626012 11 Dec 19 TO BE FILED OAK VEBA - LOOMIS SAYLES SM VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)NOTIFIED 06 Dec 19 22 Apr 08 03 Apr 16 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 15 Dec 19 BLBGLAW www.volkswageninvestorsettlemen t.comINFORMATIONAL ONLY Amount OAKC01 06 Dec 19 INFORMATIONAL ONLY OAK ERS-LAZARD ASSET OAKL01 06 Dec 19 INFORMATIONAL ONLY OAK VEBA-LAZARD 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 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/ DHB INDUSTRIES INC.17 Nov 03 30 Nov 06 16 Oct 07 15 Sep 07 21 Sep 0705 Dec 19DISBURSING www.gilardi.comGILARDI FRESHPET, INC.31 Mar 15 09 Feb 16 18 Feb 20 12 Feb 20 12 Feb 2011 Dec 19NOTIFIED www.freshpetsecuritiessettlement.comGILARDI INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 2011 Dec 19NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTS INFORMATIONAL ONLY J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 1706 Dec 19DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI MERIDIAN BIOSCIENCE, INC.23 Mar 16 19 Jan 18 04 Feb 20 17 Feb 20 17 Feb 2009 Dec 19NOTIFIED www.meridiansecuritieslitigation.comAB DATA MG UNIT TRUST (AUSTRALIA)(ELLIOT LEGAL)29 May 15 26 Oct 18 10 Jan 2009 Dec 19NOTIFIED murraygoulburnclassaction.com.au/ELLIOT LEGAL INFORMATIONAL ONLY QUINDELL PLC (WATCHSTONE GRP PLC) (UK)01 May 11 05 Aug 15 31 Dec 1903 Dec 19NOTIFIED www.harcus-sinclair.co.ukHARCUS SINCLAIR INFORMATIONAL ONLY VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 2005 Dec 19NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 1906 Dec 19NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 2004 Dec 19NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALDINFORMATIONAL ONLY WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 1804 Dec 19DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. 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 29 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/ DHB INDUSTRIES INC.17 Nov 03 30 Nov 06 16 Oct 07 15 Sep 07 21 Sep 07 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding DISBURSING www.gilardi.comGILARDI CUSIP 17 Nov 03 30 Nov 06 DHB INDS INC COM 23321E103 FRESHPET, INC.31 Mar 15 09 Feb 16 18 Feb 20 12 Feb 20 12 Feb 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.freshpetsecuritiessettlement.comGILARDI SEDOL 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15BSLVLP9 SEDOL 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15BS7K7M9 ISIN 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15US3580391056 CUSIP 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15358039105 INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY CUSIP 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A 460335201 Class Action Services Page 2 of 29 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/ INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY SEDOL 04 Oct 18 18 Oct 19 INTERNATIONAL SPEEDWAY CORP CL A B1HKFN7 ISIN 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A US4603352018 ISIN 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER US4603353008 SEDOL 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER 2447906 SEDOL 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A 2478144 CUSIP 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER 460335300 J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI SEDOL 19 Aug 13 24 Dec 13 26 Sep 13B1C2KG6 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $47.50 PER 7081600E7 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600F4 Class Action Services Page 3 of 29 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/ J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $42.50 PER 7081600G2 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600H0 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $40.00 PER 7081600I8 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600J6 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $65.00 PER 7081600K3 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $52.50 PER 7081600L1 SEDOL 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 132680303 SEDOL 19 Aug 13 24 Dec 13 PENNEY J C CORP INC COM 26 Sep 135665073 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $37.50 PER 7081600Q0 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $37.50 PER 7081600R8 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $32.50 PER 7081600S6 Class Action Services Page 4 of 29 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/ J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $27.50 PER 7081600T4 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600A5 CUSIP 19 Aug 13 24 Dec 13 JC CPENNEY CO COM STK CALL OPTION 7081600B3 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600C1 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600D9 ISIN 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 13US7081601061 SEDOL 19 Aug 13 24 Dec 13 PENNEY J C INC COM 26 Sep 13B051WQ7 CUSIP 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 13708160106 MERIDIAN BIOSCIENCE, INC.23 Mar 16 19 Jan 18 04 Feb 20 17 Feb 20 17 Feb 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED www.meridiansecuritieslitigation.comAB DATA ISIN 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM US5895841014 Class Action Services Page 5 of 29 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/ MERIDIAN BIOSCIENCE, INC.23 Mar 16 19 Jan 18 04 Feb 20 17 Feb 20 17 Feb 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED www.meridiansecuritieslitigation.comAB DATA SEDOL 23 Mar 16 19 Jan 18 #REORG MERIDIAN DIAGNOSTICS INC COM N/C 2580265 SEDOL 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM 5779930 CUSIP 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM 589584101 MG UNIT TRUST (AUSTRALIA)(ELLIOT LEGAL)29 May 15 26 Oct 18 10 Jan 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED murraygoulburnclassaction.com.au/ELLIOT LEGAL INFORMATIONAL ONLY CUSIP 29 May 15 26 Oct 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 ISIN 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)AU000000MGC1 SEDOL 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)BYRXT79 CINS 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)Q6076T104 Class Action Services Page 6 of 29 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/ QUINDELL PLC (WATCHSTONE GRP PLC) (UK)01 May 11 05 Aug 15 31 Dec 19 Security ID Type Security ID Class Start Class End 03 Dec 19 Specific Holding NOTIFIED www.harcus-sinclair.co.ukHARCUS SINCLAIR INFORMATIONAL ONLY CUSIP 01 May 11 05 Aug 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 SEDOL 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 BMTS9H8 SEDOL 01 May 11 05 Aug 15 WATCHSTONE GROUP ORD GBP0.15 BNGXSX2 SEDOL 01 May 11 05 Aug 15 QUINDELL PLC COM STK BN327S0 ISIN 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 GB00BMTS9H89 CINS 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 G3652M117 ISIN 01 May 11 05 Aug 15 USG3652M1175 VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 20 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV B2QYXQ6 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV BJ05739 Class Action Services Page 7 of 29 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/ VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 20 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY ISIN 29 Apr 14 31 Oct 19 VALE SA COM STK NPV BRVALEACNOR0 ISIN 29 Apr 14 31 Oct 19 VALE SA BRVALEACNPA3 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B04S872 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B142LF0 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM STK NPV B234NB4 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV B39VG84 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B39VG95 CINS 29 Apr 14 31 Oct 19 VALE SA P9661Q148 SEDOL 29 Apr 14 31 Oct 19 VALE SA COM STK NPV 2196286 SEDOL 29 Apr 14 31 Oct 19 VALE SA 2257127 SEDOL 29 Apr 14 31 Oct 19 COMPANIA VALE DO RIO DOCE 'A'PREF NPV(LA 5896851 Class Action Services Page 8 of 29 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/ VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 20 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV 7332706 CINS 29 Apr 14 31 Oct 19 VALE SA COM STK NPV P9661Q155 CUSIP 29 Apr 14 31 Oct 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY CUSIP 22 Apr 08 03 Apr 16 CLASS ACTIONS (DELISTED/VAR CUSIPS) 04 Jan 16181994104 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V BNDS 3.3% 22 MAR 04 Jan 16XS0908570459 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.375% 04 Jan 16XS0909324039 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V EURO MTN 1.0% 04 Jan 16XS0909787300 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2% 04 Jan 16XS0909788290 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV 1.25% 15 DEC 2016 04 Jan 16XS0910489904 Class Action Services Page 9 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3.5% GTD SNR 02/04/2043 04 Jan 16XS0911388832 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.125% MTN 05/04/2017 04 Jan 16XS0912081998 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0912615027 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH VAR RT 09 MAY 2016 04 Jan 16XS0927517911 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH 1.125% SNR NTS 04 Jan 16XS0927639780 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING FR MTN 05/2016 EUR100 04 Jan 16XS0933173352 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 1.25% 04 Jan 16XS0934107698 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.625% MTN 23/08/18 JPY5 04 Jan 16XS0964659394 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.5% GTD SNR 30/08/20 04 Jan 16XS0965051328 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0968913268 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 5.125% 04 SEP 04 Jan 16XS0968913342 Class Action Services Page 10 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG FRN 09/2015 EUR100000 04 Jan 16XS0969667418 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 09/2015 EUR10000 04 Jan 16XS0969843241 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS0972992779 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG FRN GTD SNR 13/11/15 04 Jan 16XS0990525627 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FIN NV 04 Jan 16XS0995839080 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0995839833 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS0995840252 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD SNR 11/2015 USD1 04 Jan 16XS0995841904 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.35% BDS 25/11/16 JPY 04 Jan 16XS0996594676 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FRN SNR 27 NOV 2017 04 Jan 16XS0996711817 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN GTD SNR 11/16 EUR 04 Jan 16XS0997892046 Class Action Services Page 11 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 8.375% 04 Jan 16XS0998177710 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 12/15 SEK1 04 Jan 16XS0998277932 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 2.625% 04 Jan 16XS1014610254 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV MTN 2.625% 22 JUL 04 Jan 16XS1017618783 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 3.5% MTN 23 JAN 04 Jan 16XS1019326302 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV MTN 04 Jan 16XS1019327029 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.465% GTD SNR 28/01/19 04 Jan 16XS1023327924 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3.4% GTD SNR 30/01/2034 04 Jan 16XS1023649962 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR 02/2016 SEK10 04 Jan 16XS1026146156 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH MTN 1.5% 13 FEB 04 Jan 16XS1031018911 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1048428012 Class Action Services Page 12 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV VAR RT 4.625% 24 04 Jan 16XS1048428442 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH NTS 1.0% 04 OCT 04 Jan 16XS1050916649 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH NTS 2.125% 04 04 Jan 16XS1050917373 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1051857156 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 04/19 CZK1 04 Jan 16XS1054089609 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.435% SNR 15/04/2019 JP 04 Jan 16XS1055178823 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3% GTD SNR 11/04/2029 EU 04 Jan 16XS1055445966 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH VAR RT 11 APR 2016 04 Jan 16XS1055497769 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 04/2016 EUR10000 04 Jan 16XS1055570516 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 04/16 SEK1 04 Jan 16XS1055786013 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV VAR RT 04 Jan 16XS1056047696 Class Action Services Page 13 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS1057486471 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH MTN FLTG RT 09 MAY 04 Jan 16XS1065067289 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.375% 04 Jan 16XS1066467678 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.25% 04 Jan 16XS1066883205 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.25% 04 Jan 16XS1070074312 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A CORP BD 2.125% DUE 23 04 Jan 16XS1070074668 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.42344% 04 Jan 16XS1070075392 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A FRN GTD SNR 05/2016 U 04 Jan 16XS1070082687 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A FRN SNR 11/15 USD1000 04 Jan 16XS1070709826 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.428% MTN 27/05/2019 JP 04 Jan 16XS1071757097 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 9.25% NTS 02/06/16 TR 04 Jan 16XS1072481374 Class Action Services Page 14 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH FRN SNR 12/2015 EUR10 04 Jan 16XS1076008256 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.4% MTN 02/07/2019 JPY 04 Jan 16XS1082029049 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 3.0% 04 Jan 16XS1082890663 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.37% SNR MTN 13/08/19 J 04 Jan 16XS1097766536 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FRN SNR FLTRT DUE 04 Jan 16XS1098413070 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FLTG RT MTN DUE 19 04 Jan 16XS1100048187 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 0.96% 04 Jan 16XS1100985966 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV MTN 2.0% 04 Jan 16XS1101833991 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4.875% GTD SNR 28/02/ 04 Jan 16XS1102356588 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.335% SNR 03/09/2018 JP 04 Jan 16XS1103451941 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 8.875% GTD SNR 11/03/ 04 Jan 16XS1107805670 Class Action Services Page 15 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR 09/2016 SEK10 04 Jan 16XS1109375805 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.318% MTN 08/10/2018 JP 04 Jan 16XS1117998739 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.27% MTN 20/11/2017 JPY 04 Jan 16XS1138685380 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA 1.6% 04 Jan 16XS1139231721 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA 2.45% 20 NOV 20 04 Jan 16XS1139232299 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA VAR RT 20 NOV 2 04 Jan 16XS1139232372 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FR GTD 04 Jan 16XS1140438000 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.235% MTN 15/12/2017 JP 04 Jan 16XS1151713994 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.2275% MTN 19/01/2018 J 04 Jan 16XS1166332996 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV VAR RT 04 Jan 16XS1167637294 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV MTN .875% 04 Jan 16XS1167644407 Class Action Services Page 16 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 1.625% 04 Jan 16XS1167667283 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SVE FRN GTD SNR 01/17 EUR 04 Jan 16XS1171501353 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.3212% GTD 22/01/2020 J 04 Jan 16XS1171526269 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 1.125% GTD SNR 22/01/ 04 Jan 16XS1172224625 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4.25% GTD SNR 30/01/1 04 Jan 16XS1175812921 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR MTN 08/16 EUR 04 Jan 16XS1189764282 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2.5% 04 Jan 16XS1206540806 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 3.5% 04 Jan 16XS1206541366 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FLTG RT 04 Jan 16XS1210301369 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AG FRN GTD 04 Jan 16XS1216646825 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV AG .75% 14 OCT 2021 04 Jan 16XS1216647716 Class Action Services Page 17 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES MTN 1.375% 04 Jan 16XS1218804232 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV 1.75% 17 APR 2020 04 Jan 16XS1219421861 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 4.25% 04 Jan 16XS1235144596 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.365% GTD SNR 02/07/20 04 Jan 16XS1253934977 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.241% MTN 13/07/2018 JP 04 Jan 16XS1258453981 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1261823170 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH MTN .75% 11 AUG 04 Jan 16XS1273507100 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH VAR RT 04 Jan 16XS1273542867 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.299% GTD SNR 24/02/20 04 Jan 16XS1278882052 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FRN EMT 04 Jan 16XS1280780534 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 5% 04 Jan 16AU3CB0195964 Class Action Services Page 18 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4.5% 04 Jan 16AU3CB0202760 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4.25% 04 Jan 16AU3CB0220028 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4% 04 Jan 16AU3CB0225472 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV AUST 3.25% 04 Jan 16AU3CB0231868 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 3.6% 01 FEB 2016 04 Jan 16CA918423AC83 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.9% 01 JUN 2017 04 Jan 16CA918423AD66 ISIN 22 Apr 08 03 Apr 16 VW CREDIT CDA INC. 2.2% 11 OCT 2016 04 Jan 16CA918423AF15 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.8% 20 AUG 2018 04 Jan 16CA918423AG97 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.45% DUE 14 NOV 2017 04 Jan 16CA918423AJ37 ISIN 22 Apr 08 03 Apr 16 VW CREDIT CANADA INC 2.5% 01 OCT 2019 04 Jan 16CA918423AK00 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC NT FLTG 03 APR 2017 04 Jan 16CA918423AL82 Class Action Services Page 19 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VW CREDIT CANADA INC. 1.6% 04 APR 2018 04 Jan 16CA918423AM65 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN CREDIT CANADA INC 2.15% 04 Jan 16CA918423AN49 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 5.5% 04 Jan 16DE000A1HCC83 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 144A 04 Jan 16DE000A1HCC91 ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC. 2.25% 23 MAR 2018 04 Jan 16DE000A1HQ7L9 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV CNV 04 Jan 16DE000A1VCT11 ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC. FRN GTD 26 JUN 2017 USD20 04 Jan 16DE000A1ZK3M0 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG ORD NPV(SPANISH CERT) 04 Jan 16DE0007664005 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG 4% CUM RED PRF DM50 (NLG) 04 Jan 16DE0007664039 CUSIP 22 Apr 08 03 Apr 16 VOLKSWAGEN AG NON VTG PRF NPV 04 Jan 16D94523103 ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR62035414B0 Class Action Services Page 20 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR6203541471 ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR6203541547 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN GTD SNR 06/2019 M 04 Jan 16MX91VW0100A9 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN 06/11/15 MXN100 04 Jan 16MX91VW010058 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA 4.71% NTS 17/03/17 MX 04 Jan 16MX91VW010066 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN 22/09/2017 MXN100 04 Jan 16MX91VW010074 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA 4.1% NT 21/10/2016 MX 04 Jan 16MX91VW010082 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN GTD 09/18 MXN100 04 Jan 16MX91VW010090 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK SA 5.22% BDS 13/06/16 MX 04 Jan 16MX94VW020013 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK SA FRN GTD 12/2018 MXN ' 04 Jan 16MX94VW020039 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH STEP-UP 04 Jan 16RU000A0JUPP9 Class Action Services Page 21 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 04 Jan 16RU000A0JUWM2 ISIN 22 Apr 08 03 Apr 16 04 Jan 16RU000A0JUWR1 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 4% GTD 12/08/2020 04 Jan 16USN93695BL23 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA FL RT BNDS 04 Jan 16USU9273AAJ44 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.65% 04 Jan 16USU9273AAK17 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC FRN 22 MAY 04 Jan 16USU9273AAL99 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.4% GTD 04 Jan 16USU9273AAM72 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AA03 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AB85 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AC68 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC .8382% 04 Jan 16US928668AD42 Class Action Services Page 22 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT FLT 04 Jan 16US928668AE25 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AF99 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.75639% 04 Jan 16US928668AG72 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AH55 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AJ12 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 1.375% GTD SNR 17/09/ 04 Jan 16XS1292401210 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG 04 Jan 16XS0935312305 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0936202836 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG FRN 12/2015 EUR100000 04 Jan 16XS0937167954 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0946789517 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.445% SNR NTS 12/07/16 04 Jan 16XS0952773140 Class Action Services Page 23 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 01/2016 EUR10000 04 Jan 16XS0953294468 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 1.75% 04 Jan 16XS0963566921 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AK84 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.37394% 04 Jan 16US928668AL67 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.4% 04 Jan 16US928668AM41 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT 144A 3C7 04 Jan 16US928670AB40 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 2.875% 04 Jan 16US928670AF53 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT 144A 3C7 04 Jan 16US928670AK49 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV BNDS 1.15% 20 NOV 04 Jan 16US928670AM05 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 1.6% 20 NOV 2017 04 Jan 16US928670AP36 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 1.125% 04 Jan 16US928670AW86 Class Action Services Page 24 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 2.125% 04 Jan 16US928670AX69 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT FLTG CL C 04 Jan 16US928670AY43 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT FLTG CL D 04 Jan 16US928670AZ18 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0168881760 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 03/2016 EUR50000 04 Jan 16XS0766377179 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 1.875% 15 MAY 201 04 Jan 16XS0782708456 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AG 2% SNR 04 Jan 16XS0784809393 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.81% NTS 22/05/2017 JPY 04 Jan 16XS0784929704 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.77% MTN 23/05/2016 JPY 04 Jan 16XS0784931353 ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC MTN 1.875% 13 OCT 2016 04 Jan 16XS0804777679 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3% MTN 22/08/2017 NOK100 04 Jan 16XS0818948928 Class Action Services Page 25 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 4.625% MTN 24/08/16 AUD2 04 Jan 16XS0819413351 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 2.375% 04 Jan 16XS0823975585 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.6% GTD MTN 21/09/2017 04 Jan 16XS0831936629 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.375% MTN 25/09/2015 04 Jan 16XS0834399478 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 1.15% MTN 20/11/15 USD10 04 Jan 16XS0857050834 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 1.6% 04 Jan 16XS0857054232 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV EURO 04 Jan 16XS0858633398 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 0.875% 04 Jan 16XS0860990802 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2.0% 04 Jan 16XS0873793375 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH 5.4% GTD SUB 26/09/20 04 Jan 16XS0175737997 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH 5.5% NTS SUB 07/06/24 04 Jan 16XS0193333613 Class Action Services Page 26 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 7% 04 Jan 16XS0412443052 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 1.05375% MTN 28/01/2016 04 Jan 16XS0583060370 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0611686642 ISIN 22 Apr 08 03 Apr 16 ##VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0628622622 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 3.375% GTD NTS 04 Jan 16XS0633111207 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0639780195 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 3.25% 04 Jan 16XS0702452995 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4% MTN 14/10/2015 NOK 04 Jan 16XS0703915545 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0731681556 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 3.5% BDS 02/02/16 NOK 04 Jan 16XS0736534446 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0763676557 Class Action Services Page 27 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 2.125% GTD SNR 30/03/17 04 Jan 16XS0765597918 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV MED 04 Jan 16XS0692710907 WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 20 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY ISIN 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV AU000000WBC1 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP ADR(EACH REP 1 ORD NPV) BD6TKB2 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP NPV BHZKQV6 SEDOL 20 Nov 13 19 Nov 19 #REORG/WESTPAC BKG CORPORATION MANDATORY B01D654 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR B043NB6 ISIN 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR US9612143019 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR B65BWQ9 Class Action Services Page 28 of 29 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/ WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 20 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY CUSIP 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV Q97417101 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR 2956736 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORP AUD1 5412183 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6076146 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6956527 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6957393 CUSIP 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR 961214301 CUSIP 20 Nov 13 19 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 18 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. ISIN 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15US9691991080 Class Action Services Page 29 of 29 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/ WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 18 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. ISIN 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15US9692031084 SEDOL 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15B4WX361 SEDOL 27 Feb 14 15 Jun 15 WILLBROS GROUP INC DEL COM 17 Mar 15B61Q655 CUSIP 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15969203108 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 u Class Action Filed Activity by Event Name Page 1 of 1 Message: No information found for request. User Selection: Class Action Names for ECA Reporting = 0 TNT Event Status (Filed, Disbursing, Closed only) = ALL Status As Of Date = 11/30/2019 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 11 Dec 19 13:08 Class Action Services Multiple Accounts: OAKCSM,OAKCER,OAKCVE Page 1 of 1 01 Nov 19 - 30 Nov 19 Class Action Proceeds Received Reportu OAKCER 2625896 OAK ERS - RBC GLOBAL Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 25-Nov-19 VIRTUS INVT PARTNERS INC COM 92828Q109 VIRTUS INVESTMENT PARTNERS RECEIVED DISTRIBUTION FOR CLASS PERIOD 01/24/2013 TO 08/07/2015 CASH DISTRIBUTION 1 FILED ACCOUNT 2625896 OAK ERS - RBC GLOBAL 2,165.81 0.00 TOTAL FOR OAK ERS - RBC GLOBAL 2,165.81 0.00 2626015 OAK VEBA - RBC GLOBAL Entry Date Asset Description Asset ID Transaction Description Payment Amount Received Shares / Par 25-Nov-19 VIRTUS INVT PARTNERS INC COM 92828Q109 VIRTUS INVESTMENT PARTNERS RECEIVED DISTRIBUTION FOR CLASS PERIOD 01/24/2013 TO 08/07/2015 CASH DISTRIBUTION 1 FILED ACCOUNT 2626015 OAK VEBA - RBC GLOBAL 3,923.47 0.00 TOTAL FOR OAK VEBA - RBC GLOBAL 3,923.47 0.00 GRAND TOTAL 6,089.28 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 11 Dec 19 C1536 Class Action Services u Class Action Filed Activity by Event Status Page 1 of 1 Message: No information found for request. User Selection: Class Action Names for ECA Reporting = 0 TNT Event Status (Filed, Disbursing, Closed only) = ALL Status As Of Date = 11/30/2019 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 11 Dec 19 13:08 Class Action Services Page 1 of 1 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/ FRESHPET, INC.31 Mar 15 09 Feb 16 18 Feb 20 12 Feb 20 12 Feb 2011 Dec 19NOTIFIED www.freshpetsecuritiessettlement.comGILARDI INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 2011 Dec 19NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTS INFORMATIONAL ONLY MERIDIAN BIOSCIENCE, INC.23 Mar 16 19 Jan 18 04 Feb 20 17 Feb 20 17 Feb 2009 Dec 19NOTIFIED www.meridiansecuritieslitigation.comAB DATA MG UNIT TRUST (AUSTRALIA)(ELLIOT LEGAL)29 May 15 26 Oct 18 10 Jan 2009 Dec 19NOTIFIED murraygoulburnclassaction.com.au/ELLIOT LEGAL INFORMATIONAL ONLY QUINDELL PLC (WATCHSTONE GRP PLC) (UK)01 May 11 05 Aug 15 31 Dec 1903 Dec 19NOTIFIED www.harcus-sinclair.co.ukHARCUS SINCLAIR INFORMATIONAL ONLY VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 2005 Dec 19NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 1906 Dec 19NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 2004 Dec 19NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALDINFORMATIONAL ONLY DHB INDUSTRIES INC.17 Nov 03 30 Nov 06 16 Oct 07 15 Sep 07 21 Sep 0705 Dec 19DISBURSING www.gilardi.comGILARDI J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 1706 Dec 19DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 1804 Dec 19DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. 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 29 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/ FRESHPET, INC.31 Mar 15 09 Feb 16 18 Feb 20 12 Feb 20 12 Feb 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.freshpetsecuritiessettlement.comGILARDI SEDOL 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15BSLVLP9 SEDOL 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15BS7K7M9 ISIN 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15US3580391056 CUSIP 31 Mar 15 09 Feb 16 FRESHPET INC COM 11 Nov 15358039105 INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY CUSIP 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A 460335201 SEDOL 04 Oct 18 18 Oct 19 INTERNATIONAL SPEEDWAY CORP CL A B1HKFN7 ISIN 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A US4603352018 ISIN 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER US4603353008 SEDOL 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER 2447906 Class Action Services Page 2 of 29 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/ INTERNATIONAL SPEEDWAY CORPORATION 04 Oct 18 18 Oct 19 23 Jan 20 Security ID Type Security ID Class Start Class End 11 Dec 19 Specific Holding NOTIFIED www.kccllc.comKURTZMAN CARSON CONSULTANTSINFORMATIONAL ONLY SEDOL 04 Oct 18 18 Oct 19 SHORT SELL INTL SPEEDWAY CORP CL A 2478144 CUSIP 04 Oct 18 18 Oct 19 #REORG/INTERNATIONAL CASH MERGER 460335300 MERIDIAN BIOSCIENCE, INC.23 Mar 16 19 Jan 18 04 Feb 20 17 Feb 20 17 Feb 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED www.meridiansecuritieslitigation.comAB DATA ISIN 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM US5895841014 SEDOL 23 Mar 16 19 Jan 18 #REORG MERIDIAN DIAGNOSTICS INC COM N/C 2580265 SEDOL 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM 5779930 CUSIP 23 Mar 16 19 Jan 18 MERIDIAN BIOSCIENCE INC COM 589584101 MG UNIT TRUST (AUSTRALIA)(ELLIOT LEGAL)29 May 15 26 Oct 18 10 Jan 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED murraygoulburnclassaction.com.au/ELLIOT LEGAL INFORMATIONAL ONLY Class Action Services Page 3 of 29 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/ MG UNIT TRUST (AUSTRALIA)(ELLIOT LEGAL)29 May 15 26 Oct 18 10 Jan 20 Security ID Type Security ID Class Start Class End 09 Dec 19 Specific Holding NOTIFIED murraygoulburnclassaction.com.au/ELLIOT LEGAL INFORMATIONAL ONLY CUSIP 29 May 15 26 Oct 18 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 ISIN 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)AU000000MGC1 SEDOL 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)BYRXT79 CINS 29 May 15 26 Oct 18 MG UNIT TRUST NPV (UNITS)Q6076T104 QUINDELL PLC (WATCHSTONE GRP PLC) (UK)01 May 11 05 Aug 15 31 Dec 19 Security ID Type Security ID Class Start Class End 03 Dec 19 Specific Holding NOTIFIED www.harcus-sinclair.co.ukHARCUS SINCLAIR INFORMATIONAL ONLY CUSIP 01 May 11 05 Aug 15 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 SEDOL 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 BMTS9H8 SEDOL 01 May 11 05 Aug 15 WATCHSTONE GROUP ORD GBP0.15 BNGXSX2 SEDOL 01 May 11 05 Aug 15 QUINDELL PLC COM STK BN327S0 ISIN 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 GB00BMTS9H89 Class Action Services Page 4 of 29 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/ QUINDELL PLC (WATCHSTONE GRP PLC) (UK)01 May 11 05 Aug 15 31 Dec 19 Security ID Type Security ID Class Start Class End 03 Dec 19 Specific Holding NOTIFIED www.harcus-sinclair.co.ukHARCUS SINCLAIR INFORMATIONAL ONLY CINS 01 May 11 05 Aug 15 WATCHSTONE GROUP PLC ORD GBP0.15 G3652M117 ISIN 01 May 11 05 Aug 15 USG3652M1175 VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 20 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV B2QYXQ6 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV BJ05739 ISIN 29 Apr 14 31 Oct 19 VALE SA COM STK NPV BRVALEACNOR0 ISIN 29 Apr 14 31 Oct 19 VALE SA BRVALEACNPA3 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B04S872 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B142LF0 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM STK NPV B234NB4 Class Action Services Page 5 of 29 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/ VALE S.A.(2019) (BRAZIL) (DRRT/THERIUM)29 Apr 14 31 Oct 19 01 Mar 20 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding NOTIFIED valeinvestorclaims@drrt.comDRRT INFORMATIONAL ONLY SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV B39VG84 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. PRF'A'NPV B39VG95 CINS 29 Apr 14 31 Oct 19 VALE SA P9661Q148 SEDOL 29 Apr 14 31 Oct 19 VALE SA COM STK NPV 2196286 SEDOL 29 Apr 14 31 Oct 19 VALE SA 2257127 SEDOL 29 Apr 14 31 Oct 19 COMPANIA VALE DO RIO DOCE 'A'PREF NPV(LA 5896851 SEDOL 29 Apr 14 31 Oct 19 VALE S.A. COM NPV 7332706 CINS 29 Apr 14 31 Oct 19 VALE SA COM STK NPV P9661Q155 CUSIP 29 Apr 14 31 Oct 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY Class Action Services Page 6 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY CUSIP 22 Apr 08 03 Apr 16 CLASS ACTIONS (DELISTED/VAR CUSIPS) 04 Jan 16181994104 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AA03 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AB85 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AC68 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC .8382% 04 Jan 16US928668AD42 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT FLT 04 Jan 16US928668AE25 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AF99 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.75639% 04 Jan 16US928668AG72 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AH55 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AJ12 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 1.375% GTD SNR 17/09/ 04 Jan 16XS1292401210 Class Action Services Page 7 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V BNDS 3.3% 22 MAR 04 Jan 16XS0908570459 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.375% 04 Jan 16XS0909324039 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V EURO MTN 1.0% 04 Jan 16XS0909787300 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2% 04 Jan 16XS0909788290 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV 1.25% 15 DEC 2016 04 Jan 16XS0910489904 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3.5% GTD SNR 02/04/2043 04 Jan 16XS0911388832 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.125% MTN 05/04/2017 04 Jan 16XS0912081998 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0912615027 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH VAR RT 09 MAY 2016 04 Jan 16XS0927517911 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH 1.125% SNR NTS 04 Jan 16XS0927639780 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING FR MTN 05/2016 EUR100 04 Jan 16XS0933173352 Class Action Services Page 8 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 1.25% 04 Jan 16XS0934107698 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.625% MTN 23/08/18 JPY5 04 Jan 16XS0964659394 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.5% GTD SNR 30/08/20 04 Jan 16XS0965051328 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0968913268 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 5.125% 04 SEP 04 Jan 16XS0968913342 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG FRN 09/2015 EUR100000 04 Jan 16XS0969667418 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 09/2015 EUR10000 04 Jan 16XS0969843241 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS0972992779 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG FRN GTD SNR 13/11/15 04 Jan 16XS0990525627 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FIN NV 04 Jan 16XS0995839080 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0995839833 Class Action Services Page 9 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS0995840252 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD SNR 11/2015 USD1 04 Jan 16XS0995841904 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.35% BDS 25/11/16 JPY 04 Jan 16XS0996594676 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FRN SNR 27 NOV 2017 04 Jan 16XS0996711817 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN GTD SNR 11/16 EUR 04 Jan 16XS0997892046 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 8.375% 04 Jan 16XS0998177710 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 12/15 SEK1 04 Jan 16XS0998277932 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 2.625% 04 Jan 16XS1014610254 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV MTN 2.625% 22 JUL 04 Jan 16XS1017618783 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 3.5% MTN 23 JAN 04 Jan 16XS1019326302 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV MTN 04 Jan 16XS1019327029 Class Action Services Page 10 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.465% GTD SNR 28/01/19 04 Jan 16XS1023327924 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3.4% GTD SNR 30/01/2034 04 Jan 16XS1023649962 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR 02/2016 SEK10 04 Jan 16XS1026146156 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH MTN 1.5% 13 FEB 04 Jan 16XS1031018911 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1048428012 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV VAR RT 4.625% 24 04 Jan 16XS1048428442 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH NTS 1.0% 04 OCT 04 Jan 16XS1050916649 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH NTS 2.125% 04 04 Jan 16XS1050917373 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1051857156 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 04/19 CZK1 04 Jan 16XS1054089609 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.435% SNR 15/04/2019 JP 04 Jan 16XS1055178823 Class Action Services Page 11 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3% GTD SNR 11/04/2029 EU 04 Jan 16XS1055445966 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH VAR RT 11 APR 2016 04 Jan 16XS1055497769 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 04/2016 EUR10000 04 Jan 16XS1055570516 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FR GTD SNR 04/16 SEK1 04 Jan 16XS1055786013 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV VAR RT 04 Jan 16XS1056047696 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV FRN 04 Jan 16XS1057486471 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH MTN FLTG RT 09 MAY 04 Jan 16XS1065067289 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.375% 04 Jan 16XS1066467678 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 2.25% 04 Jan 16XS1066883205 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.25% 04 Jan 16XS1070074312 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A CORP BD 2.125% DUE 23 04 Jan 16XS1070074668 Class Action Services Page 12 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.42344% 04 Jan 16XS1070075392 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A FRN GTD SNR 05/2016 U 04 Jan 16XS1070082687 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP A FRN SNR 11/15 USD1000 04 Jan 16XS1070709826 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.428% MTN 27/05/2019 JP 04 Jan 16XS1071757097 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 9.25% NTS 02/06/16 TR 04 Jan 16XS1072481374 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH FRN SNR 12/2015 EUR10 04 Jan 16XS1076008256 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.4% MTN 02/07/2019 JPY 04 Jan 16XS1082029049 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 3.0% 04 Jan 16XS1082890663 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.37% SNR MTN 13/08/19 J 04 Jan 16XS1097766536 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FRN SNR FLTRT DUE 04 Jan 16XS1098413070 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH FLTG RT MTN DUE 19 04 Jan 16XS1100048187 Class Action Services Page 13 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 0.96% 04 Jan 16XS1100985966 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV MTN 2.0% 04 Jan 16XS1101833991 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4.875% GTD SNR 28/02/ 04 Jan 16XS1102356588 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.335% SNR 03/09/2018 JP 04 Jan 16XS1103451941 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 8.875% GTD SNR 11/03/ 04 Jan 16XS1107805670 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR 09/2016 SEK10 04 Jan 16XS1109375805 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.318% MTN 08/10/2018 JP 04 Jan 16XS1117998739 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.27% MTN 20/11/2017 JPY 04 Jan 16XS1138685380 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA 1.6% 04 Jan 16XS1139231721 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA 2.45% 20 NOV 20 04 Jan 16XS1139232299 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA VAR RT 20 NOV 2 04 Jan 16XS1139232372 Class Action Services Page 14 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FR GTD 04 Jan 16XS1140438000 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.235% MTN 15/12/2017 JP 04 Jan 16XS1151713994 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.2275% MTN 19/01/2018 J 04 Jan 16XS1166332996 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV VAR RT 04 Jan 16XS1167637294 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV MTN .875% 04 Jan 16XS1167644407 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 1.625% 04 Jan 16XS1167667283 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SVE FRN GTD SNR 01/17 EUR 04 Jan 16XS1171501353 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.3212% GTD 22/01/2020 J 04 Jan 16XS1171526269 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 1.125% GTD SNR 22/01/ 04 Jan 16XS1172224625 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4.25% GTD SNR 30/01/1 04 Jan 16XS1175812921 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV FRN SNR MTN 08/16 EUR 04 Jan 16XS1189764282 Class Action Services Page 15 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2.5% 04 Jan 16XS1206540806 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 3.5% 04 Jan 16XS1206541366 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FLTG RT 04 Jan 16XS1210301369 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AG FRN GTD 04 Jan 16XS1216646825 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV AG .75% 14 OCT 2021 04 Jan 16XS1216647716 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES MTN 1.375% 04 Jan 16XS1218804232 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV NV 1.75% 17 APR 2020 04 Jan 16XS1219421861 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 4.25% 04 Jan 16XS1235144596 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.365% GTD SNR 02/07/20 04 Jan 16XS1253934977 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.241% MTN 13/07/2018 JP 04 Jan 16XS1258453981 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS1261823170 Class Action Services Page 16 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH MTN .75% 11 AUG 04 Jan 16XS1273507100 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH VAR RT 04 Jan 16XS1273542867 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.299% GTD SNR 24/02/20 04 Jan 16XS1278882052 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV FRN EMT 04 Jan 16XS1280780534 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 5% 04 Jan 16AU3CB0195964 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4.5% 04 Jan 16AU3CB0202760 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4.25% 04 Jan 16AU3CB0220028 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AUST 4% 04 Jan 16AU3CB0225472 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FIN SERV AUST 3.25% 04 Jan 16AU3CB0231868 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 3.6% 01 FEB 2016 04 Jan 16CA918423AC83 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.9% 01 JUN 2017 04 Jan 16CA918423AD66 Class Action Services Page 17 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VW CREDIT CDA INC. 2.2% 11 OCT 2016 04 Jan 16CA918423AF15 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.8% 20 AUG 2018 04 Jan 16CA918423AG97 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC 2.45% DUE 14 NOV 2017 04 Jan 16CA918423AJ37 ISIN 22 Apr 08 03 Apr 16 VW CREDIT CANADA INC 2.5% 01 OCT 2019 04 Jan 16CA918423AK00 ISIN 22 Apr 08 03 Apr 16 VW CR CDA INC NT FLTG 03 APR 2017 04 Jan 16CA918423AL82 ISIN 22 Apr 08 03 Apr 16 VW CREDIT CANADA INC. 1.6% 04 APR 2018 04 Jan 16CA918423AM65 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN CREDIT CANADA INC 2.15% 04 Jan 16CA918423AN49 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 5.5% 04 Jan 16DE000A1HCC83 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 144A 04 Jan 16DE000A1HCC91 ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC. 2.25% 23 MAR 2018 04 Jan 16DE000A1HQ7L9 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV CNV 04 Jan 16DE000A1VCT11 Class Action Services Page 18 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC. FRN GTD 26 JUN 2017 USD20 04 Jan 16DE000A1ZK3M0 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG ORD NPV(SPANISH CERT) 04 Jan 16DE0007664005 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN AG 4% CUM RED PRF DM50 (NLG) 04 Jan 16DE0007664039 CUSIP 22 Apr 08 03 Apr 16 VOLKSWAGEN AG NON VTG PRF NPV 04 Jan 16D94523103 ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR62035414B0 ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR6203541471 ISIN 22 Apr 08 03 Apr 16 04 Jan 16KR6203541547 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN GTD SNR 06/2019 M 04 Jan 16MX91VW0100A9 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN 06/11/15 MXN100 04 Jan 16MX91VW010058 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA 4.71% NTS 17/03/17 MX 04 Jan 16MX91VW010066 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN 22/09/2017 MXN100 04 Jan 16MX91VW010074 Class Action Services Page 19 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA 4.1% NT 21/10/2016 MX 04 Jan 16MX91VW010082 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN LEASNG SA FRN GTD 09/18 MXN100 04 Jan 16MX91VW010090 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK SA 5.22% BDS 13/06/16 MX 04 Jan 16MX94VW020013 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK SA FRN GTD 12/2018 MXN ' 04 Jan 16MX94VW020039 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BANK GMBH STEP-UP 04 Jan 16RU000A0JUPP9 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMERICA FL RT BNDS 04 Jan 16USU9273AAJ44 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 1.65% 04 Jan 16USU9273AAK17 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC FRN 22 MAY 04 Jan 16USU9273AAL99 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.4% GTD 04 Jan 16USU9273AAM72 ISIN 22 Apr 08 03 Apr 16 04 Jan 16RU000A0JUWM2 ISIN 22 Apr 08 03 Apr 16 04 Jan 16RU000A0JUWR1 Class Action Services Page 20 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 4% GTD 12/08/2020 04 Jan 16USN93695BL23 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG 04 Jan 16XS0935312305 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0936202836 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV AG FRN 12/2015 EUR100000 04 Jan 16XS0937167954 ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0946789517 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.445% SNR NTS 12/07/16 04 Jan 16XS0952773140 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 01/2016 EUR10000 04 Jan 16XS0953294468 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 1.75% 04 Jan 16XS0963566921 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC GTD NT 04 Jan 16US928668AK84 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.37394% 04 Jan 16US928668AL67 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN GROUP AMER FIN LLC 2.4% 04 Jan 16US928668AM41 Class Action Services Page 21 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT 144A 3C7 04 Jan 16US928670AB40 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 2.875% 04 Jan 16US928670AF53 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT 144A 3C7 04 Jan 16US928670AK49 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV BNDS 1.15% 20 NOV 04 Jan 16US928670AM05 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 1.6% 20 NOV 2017 04 Jan 16US928670AP36 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 1.125% 04 Jan 16US928670AW86 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V 2.125% 04 Jan 16US928670AX69 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT FLTG CL C 04 Jan 16US928670AY43 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN N V GTD NT FLTG CL D 04 Jan 16US928670AZ18 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0168881760 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FRN GTD 03/2016 EUR50000 04 Jan 16XS0766377179 Class Action Services Page 22 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL FIN NV 1.875% 15 MAY 201 04 Jan 16XS0782708456 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES AG 2% SNR 04 Jan 16XS0784809393 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.81% NTS 22/05/2017 JPY 04 Jan 16XS0784929704 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.77% MTN 23/05/2016 JPY 04 Jan 16XS0784931353 ISIN 22 Apr 08 03 Apr 16 VW CREDIT INC MTN 1.875% 13 OCT 2016 04 Jan 16XS0804777679 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 3% MTN 22/08/2017 NOK100 04 Jan 16XS0818948928 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 4.625% MTN 24/08/16 AUD2 04 Jan 16XS0819413351 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 2.375% 04 Jan 16XS0823975585 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 0.6% GTD MTN 21/09/2017 04 Jan 16XS0831936629 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 2.375% MTN 25/09/2015 04 Jan 16XS0834399478 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 1.15% MTN 20/11/15 USD10 04 Jan 16XS0857050834 Class Action Services Page 23 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 1.6% 04 Jan 16XS0857054232 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV EURO 04 Jan 16XS0858633398 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV 0.875% 04 Jan 16XS0860990802 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 2.0% 04 Jan 16XS0873793375 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH 5.4% GTD SUB 26/09/20 04 Jan 16XS0175737997 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN BK GMBH 5.5% NTS SUB 07/06/24 04 Jan 16XS0193333613 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 7% 04 Jan 16XS0412443052 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINL 1.05375% MTN 28/01/2016 04 Jan 16XS0583060370 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0611686642 ISIN 22 Apr 08 03 Apr 16 ##VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0628622622 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 3.375% GTD NTS 04 Jan 16XS0633111207 Class Action Services Page 24 of 29 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW INFORMATIONAL ONLY ISIN 22 Apr 08 03 Apr 16 04 Jan 16XS0639780195 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN LEASING GMBH 3.25% 04 Jan 16XS0702452995 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 4% MTN 14/10/2015 NOK 04 Jan 16XS0703915545 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0731681556 ISIN 22 Apr 08 03 Apr 16 VOLKSWGN FIN SV NV 3.5% BDS 02/02/16 NOK 04 Jan 16XS0736534446 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTERNATIONAL FINANCE NV 04 Jan 16XS0763676557 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN INTL 2.125% GTD SNR 30/03/17 04 Jan 16XS0765597918 ISIN 22 Apr 08 03 Apr 16 VOLKSWAGEN FINANCIAL SERVICES NV MED 04 Jan 16XS0692710907 WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 20 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY ISIN 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV AU000000WBC1 Class Action Services Page 25 of 29 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/ WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 20 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP ADR(EACH REP 1 ORD NPV) BD6TKB2 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP NPV BHZKQV6 SEDOL 20 Nov 13 19 Nov 19 #REORG/WESTPAC BKG CORPORATION MANDATORY B01D654 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR B043NB6 ISIN 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR US9612143019 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR B65BWQ9 CUSIP 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV Q97417101 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR 2956736 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORP AUD1 5412183 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6076146 SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6956527 Class Action Services Page 26 of 29 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/ WESTPAC BANKING CORP (AUSTRALIA)20 Nov 13 19 Nov 19 01 Feb 20 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD INFORMATIONAL ONLY SEDOL 20 Nov 13 19 Nov 19 WESTPAC BANKING CORPORATION NPV 6957393 CUSIP 20 Nov 13 19 Nov 19 WESTPAC BKG CORP SPONSORED ADR 961214301 CUSIP 20 Nov 13 19 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 DHB INDUSTRIES INC.17 Nov 03 30 Nov 06 16 Oct 07 15 Sep 07 21 Sep 07 Security ID Type Security ID Class Start Class End 05 Dec 19 Specific Holding DISBURSING www.gilardi.comGILARDI CUSIP 17 Nov 03 30 Nov 06 DHB INDS INC COM 23321E103 J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI SEDOL 19 Aug 13 24 Dec 13 26 Sep 13B1C2KG6 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $47.50 PER 7081600E7 Class Action Services Page 27 of 29 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/ J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600F4 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $42.50 PER 7081600G2 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600H0 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $40.00 PER 7081600I8 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $37.50 PER 7081600J6 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $65.00 PER 7081600K3 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $52.50 PER 7081600L1 SEDOL 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 132680303 SEDOL 19 Aug 13 24 Dec 13 PENNEY J C CORP INC COM 26 Sep 135665073 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $37.50 PER 7081600Q0 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $37.50 PER 7081600R8 Class Action Services Page 28 of 29 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/ J.C. PENNEY COMPANY INC 19 Aug 13 24 Dec 13 06 Nov 17 08 Nov 17 08 Nov 17 Security ID Type Security ID Class Start Class End 06 Dec 19 Specific Holding DISBURSING www.jcpenneysecuritieslitigation.com/GILARDI CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $32.50 PER 7081600S6 CUSIP 19 Aug 13 24 Dec 13 J C PENNY PUT OPTION W/STK $27.50 PER 7081600T4 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600A5 CUSIP 19 Aug 13 24 Dec 13 JC CPENNEY CO COM STK CALL OPTION 7081600B3 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600C1 CUSIP 19 Aug 13 24 Dec 13 J C PENNY CALL OPTION W/STK $50.00 PER 7081600D9 ISIN 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 13US7081601061 SEDOL 19 Aug 13 24 Dec 13 PENNEY J C INC COM 26 Sep 13B051WQ7 CUSIP 19 Aug 13 24 Dec 13 SHORT SELL PENNY JC CO INC USD .50 26 Sep 13708160106 WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 18 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. Class Action Services Page 29 of 29 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/ WILLBROS GROUP, INC. (2014)27 Feb 14 15 Jun 15 06 Sep 18 12 Jul 18 12 Jul 18 Security ID Type Security ID Class Start Class End 04 Dec 19 Specific Holding DISBURSING www.willbrossecuritieslitigation.comGILARDI & CO. SEDOL 27 Feb 14 15 Jun 15 WILLBROS GROUP INC DEL COM 17 Mar 15B61Q655 ISIN 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15US9691991080 ISIN 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15US9692031084 SEDOL 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15B4WX361 CUSIP 27 Feb 14 15 Jun 15 WILLBROS GROUP INC COM 17 Mar 15969203108 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 FRESHPET, INC.NOTIFIED 11 Dec 19 31 Mar 15 09 Feb 16 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 18 Feb 20 12 Feb 20 12 Feb 20 Gilardi www.freshpetsecuritiessettlement. com Amount 2625874 11 Dec 19 TO BE FILED OAK ERS - LOOMIS SAYLES SM 2626012 11 Dec 19 TO BE FILED OAK VEBA - LOOMIS SAYLES SM VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)NOTIFIED 06 Dec 19 22 Apr 08 03 Apr 16 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 15 Dec 19 BLBGLAW www.volkswageninvestorsettlemen t.comINFORMATIONAL ONLY Amount OAKC01 06 Dec 19 INFORMATIONAL ONLY OAK ERS-LAZARD ASSET OAKL01 06 Dec 19 INFORMATIONAL ONLY OAK VEBA-LAZARD 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 VIRTUS INVESTMENT PARTNERS DISBRSNG Garden City www.virtussecuritieslitigation.com25 Nov 19 24 Jan 13 07 Aug 15 10 Oct 18 03 Oct 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 2,165.81 2,122.50 43.31 0.00 1 CASH 25 Nov 19 25 Nov 19USD 2626015 OAK VEBA - RBC GLOBAL PAID 2626015 OAK VEBA - RBC GLOBAL 3,923.47 3,845.01 78.46 0.00 1 CASH 25 Nov 19 25 Nov 19USD 121.77 6,089.28VIRTUS INVESTMENT PARTNERSTotals 0.00 5,967.51and 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. 12/11/2019 1:08:12PM 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 VIRTUS INVESTMENT PARTNERS 2,165.81 2,122.50 43.31 0.00 25 Nov 19USD 0.00 43.31 2,122.50 2,165.81Sub Total and Currency USD2625896 2626015 OAK VEBA - RBC GLOBAL VIRTUS INVESTMENT PARTNERS 3,923.47 3,845.01 78.46 0.00 25 Nov 19USD 0.00 78.46 3,845.01 3,923.47Sub 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. 12/11/2019 1:08:12PM Class Action Services Page 1 of 2 u Class Action Tran Hist Non-Filed 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Dec 19 CV NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW Price Net Currency Account Name OAKC01 DE0007664039 ISIN 22 Apr 08 OPNHOLD 0.00 0.000000 0.00 OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 01 Aug 14 RECEIPT 2,875.00 0.000000 0.00 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 22 Aug 14 PURCHASE 228.00 172.990200 39,496.99 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 01 Oct 14 SALE -611.00 160.728700 98,067.75 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 02 Oct 14 SALE -243.00 159.201200 38,631.73 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 02 Oct 14 SALE -381.00 161.278200 61,360.96 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 06 Oct 14 SALE -295.00 158.767200 46,770.75 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 17 Oct 14 SALE -1,573.00 159.875300 251,131.77 EUR OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 04 Jan 16 CLSHOLD1 0.00 0.000000 0.00 OAK ERS-LAZARD ASSET OAKC01 DE0007664039 ISIN 03 Apr 16 CLSHOLD2 0.00 0.000000 0.00 OAK ERS-LAZARD ASSET OAKL01 DE0007664039 ISIN 22 Apr 08 OPNHOLD 0.00 0.000000 0.00 OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 01 Aug 14 RECEIPT 3,798.00 0.000000 0.00 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 22 Aug 14 PURCHASE 298.00 172.990200 51,623.25 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 01 Oct 14 SALE -806.00 160.728700 129,365.96 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 02 Oct 14 SALE -503.00 161.278200 81,009.36 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 02 Oct 14 SALE -321.00 159.201200 51,032.04 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 06 Oct 14 SALE -390.00 158.767200 61,832.52 EUR OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 17 Oct 14 SALE -2,076.00 159.875300 331,436.46 EUR OAK VEBA-LAZARD Class Action Services Page 2 of 2 u Class Action Tran Hist Non-Filed 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/ VOLKSWAGEN AG (NETH) (BLBG) (STIBBE)22 Apr 08 03 Apr 16 15 Dec 19 Account Filed Security ID ID Type Trade Date Trans Type 06 Dec 19 CV NOTIFIED www.volkswageninvestorsettlement.comBLBGLAW Price Net Currency Account Name OAKL01 DE0007664039 ISIN 04 Jan 16 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA-LAZARD OAKL01 DE0007664039 ISIN 03 Apr 16 CLSHOLD2 0.00 0.000000 0.00 OAK VEBA-LAZARD 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.