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HomeMy WebLinkAboutReports - 2019.12.17 - 32689Northern Trust Table of Contents Class Action Event Summary by Event Status Class Action Event Summary by Event Name Class Action Event Detail by Event Name Class Action Filed Activity by Event Name Class Action Activity Detail by Event Name Class Action Filed Activity by Event Status Class Action Proceeds Received Report Class Action Event Detail by Event Status Class Action Activity Detail by Event Status Class Action Proceeds by Class Class Action Proceeds by Account Class Action Tran Hist Non-Filed by Event Name 2 3 4 9 10 11 12 13 18 19 20 21 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 2022 Jan 20NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 2022 Jan 20NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY KRATON CORPORATION 24 Oct 17 21 May 18 27 Mar 20 24 Mar 20 09 Apr 2023 Jan 20NOTIFIED www.strategicclaims.net/kratonSTRATEGIC CLAIMS SERVICES MGT CAPITAL INVESTMENTS INC.(2018)(SDNY)08 Oct 15 07 Sep 18 20 May 20 06 May 20 06 May 2022 Jan 20NOTIFIED www.strategicclaims.net/guyer-v-mgtSTRATEGIC CLAIMS 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 2022 Jan 20NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 2022 Jan 20NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY KRATON CORPORATION 24 Oct 17 21 May 18 27 Mar 20 24 Mar 20 09 Apr 2023 Jan 20NOTIFIED www.strategicclaims.net/kratonSTRATEGIC CLAIMS SERVICES MGT CAPITAL INVESTMENTS INC.(2018)(SDNY)08 Oct 15 07 Sep 18 20 May 20 06 May 20 06 May 2022 Jan 20NOTIFIED www.strategicclaims.net/guyer-v-mgtSTRATEGIC CLAIMS 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 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV(SPANISH CERT) 5077894 SEDOL 20 May 16 29 Nov 19 BAYER CAP CORP B.V 5.375% BDS 22/11/2019 BDR6MY9 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BF0Z8N8 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BH7KCS3 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BYMSTR9 SEDOL 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% BYV99B7 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)B7N2TM6 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)B8LS406 ISIN 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% DE000A189FZ7 ISIN 20 May 16 29 Nov 19 BAYER CAPITAL CORP BV BNDS 5.625% DE000A189F04 ISIN 20 May 16 29 Nov 19 BAYER AG NPV (REGD)DE000BAY0017 Class Action Services Page 2 of 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY CINS 20 May 16 29 Nov 19 BAYER AG NPV (REGD)D0712D163 CINS 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% N10680AN1 CINS 20 May 16 29 Nov 19 BAYER CAPITAL CORP BV BNDS 5.625% N10680AP6 ISIN 20 May 16 29 Nov 19 USD0712D1637 ISIN 20 May 16 29 Nov 19 USN10680AN15 ISIN 20 May 16 29 Nov 19 USN10680AP62 SEDOL 20 May 16 29 Nov 19 BAYER AG-REG 0070520 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)5069211 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (BR)5069459 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5069493 SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV(ITAL CERT) 5073461 Class Action Services Page 3 of 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5073472 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (TEMP)5074497 SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV 6093877 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5069192 CUSIP 20 May 16 29 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY ISIN 04 Apr 13 29 Nov 19 BRF SA COM NPV BRBRFSACNOR8 ISIN 04 Apr 13 29 Nov 19 BRPDGOACNOR5 SEDOL 04 Apr 13 29 Nov 19 BRF-BRASIL FOODS SA COM NPV B29GM95 CINS 04 Apr 13 29 Nov 19 BRF SA COM NPV P1905C100 Class Action Services Page 4 of 5 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/ BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY SEDOL 04 Apr 13 29 Nov 19 BRF SA COM NPV 2036995 SEDOL 04 Apr 13 29 Nov 19 PERDIGAO SA COM E IND COM STK NPV 2682150 CINS 04 Apr 13 29 Nov 19 P7704T210 CUSIP 04 Apr 13 29 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 KRATON CORPORATION 24 Oct 17 21 May 18 27 Mar 20 24 Mar 20 09 Apr 20 Security ID Type Security ID Class Start Class End 23 Jan 20 Specific Holding NOTIFIED www.strategicclaims.net/kratonSTRATEGIC CLAIMS SERVICES SEDOL 24 Oct 17 21 May 18 KRATON PERFORMANCE POLYMERS INC COM B52DXG8 SEDOL 24 Oct 17 21 May 18 KRATON CORPORATION B547X79 ISIN 24 Oct 17 21 May 18 KRATON CORPORATION US50077C1062 CUSIP 24 Oct 17 21 May 18 KRATON CORPORATION 50077C106 Class Action Services Page 5 of 5 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/ MGT CAPITAL INVESTMENTS INC.(2018)(SDNY)08 Oct 15 07 Sep 18 20 May 20 06 May 20 06 May 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED www.strategicclaims.net/guyer-v-mgtSTRATEGIC CLAIMS SEDOL 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM NEW BYQQ0P4 SEDOL 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM B7NM2X8 ISIN 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM US55302P2020 CUSIP 08 Oct 15 07 Sep 18 958052102 CUSIP 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM 55302P202 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 = 01/22/2020 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 23 Jan 20 10:01 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 BAYER AG (GERMANY)NOTIFIED 22 Jan 20 20 May 16 29 Nov 19 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 30 Apr 20 DRRT/Therium bayerinvestorclaims@drrt.com INFORMATIONAL ONLY Amount OAKC01 22 Jan 20 INFORMATIONAL ONLY OAK ERS-LAZARD ASSET OAKL01 22 Jan 20 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 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 = 01/22/2020 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 23 Jan 20 10:01 Class Action Services u Class Action Proceeds Received Report Page 1 of 1 Message: No information found for request. User Selection: Account number = OAKCSM,OAKCER,OAKCVE From date = 12/01/2019 Through date = 12/31/2019 Reporting type = Daily Reporting 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 OAKCSM,OAKCER,OAKCVE Multiple Accounts: OAKCSM,OAKCER,OAKCVE *Generated by Northern Trust at 23 Jan 20 10:01 Class Action Services Page 1 of 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV(SPANISH CERT) 5077894 SEDOL 20 May 16 29 Nov 19 BAYER CAP CORP B.V 5.375% BDS 22/11/2019 BDR6MY9 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BF0Z8N8 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BH7KCS3 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)BYMSTR9 SEDOL 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% BYV99B7 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)B7N2TM6 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)B8LS406 ISIN 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% DE000A189FZ7 ISIN 20 May 16 29 Nov 19 BAYER CAPITAL CORP BV BNDS 5.625% DE000A189F04 ISIN 20 May 16 29 Nov 19 BAYER AG NPV (REGD)DE000BAY0017 Class Action Services Page 2 of 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY CINS 20 May 16 29 Nov 19 BAYER AG NPV (REGD)D0712D163 CINS 20 May 16 29 Nov 19 BAYER CAPITAL CORPORATION B.V. 5.625% N10680AN1 CINS 20 May 16 29 Nov 19 BAYER CAPITAL CORP BV BNDS 5.625% N10680AP6 ISIN 20 May 16 29 Nov 19 USD0712D1637 ISIN 20 May 16 29 Nov 19 USN10680AN15 ISIN 20 May 16 29 Nov 19 USN10680AP62 SEDOL 20 May 16 29 Nov 19 BAYER AG-REG 0070520 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (REGD)5069211 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (BR)5069459 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5069493 SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV(ITAL CERT) 5073461 Class Action Services Page 3 of 5 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM INFORMATIONAL ONLY SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5073472 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV (TEMP)5074497 SEDOL 20 May 16 29 Nov 19 BAYER AG ORD NPV 6093877 SEDOL 20 May 16 29 Nov 19 BAYER AG NPV 5069192 CUSIP 20 May 16 29 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY ISIN 04 Apr 13 29 Nov 19 BRF SA COM NPV BRBRFSACNOR8 ISIN 04 Apr 13 29 Nov 19 BRPDGOACNOR5 SEDOL 04 Apr 13 29 Nov 19 BRF-BRASIL FOODS SA COM NPV B29GM95 CINS 04 Apr 13 29 Nov 19 BRF SA COM NPV P1905C100 Class Action Services Page 4 of 5 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/ BRF S.A. (BRAZIL)04 Apr 13 29 Nov 19 14 Feb 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED https://drrt.com/cases/global-securitiesDRRT INFORMATIONAL ONLY SEDOL 04 Apr 13 29 Nov 19 BRF SA COM NPV 2036995 SEDOL 04 Apr 13 29 Nov 19 PERDIGAO SA COM E IND COM STK NPV 2682150 CINS 04 Apr 13 29 Nov 19 P7704T210 CUSIP 04 Apr 13 29 Nov 19 CLASS ACTIONS (DELISTED/VAR CUSIPS) 181994104 KRATON CORPORATION 24 Oct 17 21 May 18 27 Mar 20 24 Mar 20 09 Apr 20 Security ID Type Security ID Class Start Class End 23 Jan 20 Specific Holding NOTIFIED www.strategicclaims.net/kratonSTRATEGIC CLAIMS SERVICES SEDOL 24 Oct 17 21 May 18 KRATON PERFORMANCE POLYMERS INC COM B52DXG8 SEDOL 24 Oct 17 21 May 18 KRATON CORPORATION B547X79 ISIN 24 Oct 17 21 May 18 KRATON CORPORATION US50077C1062 CUSIP 24 Oct 17 21 May 18 KRATON CORPORATION 50077C106 Class Action Services Page 5 of 5 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/ MGT CAPITAL INVESTMENTS INC.(2018)(SDNY)08 Oct 15 07 Sep 18 20 May 20 06 May 20 06 May 20 Security ID Type Security ID Class Start Class End 22 Jan 20 Specific Holding NOTIFIED www.strategicclaims.net/guyer-v-mgtSTRATEGIC CLAIMS SEDOL 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM NEW BYQQ0P4 SEDOL 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM B7NM2X8 ISIN 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM US55302P2020 CUSIP 08 Oct 15 07 Sep 18 958052102 CUSIP 08 Oct 15 07 Sep 18 MGT CAP INVTS INC COM 55302P202 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 BAYER AG (GERMANY)NOTIFIED 22 Jan 20 20 May 16 29 Nov 19 Account Notified/Filed Claim Status as of Date/ Claim Status Account Paid Account Paid Name Distribution/ Currency Type Date Distributed Account Notified/Filed Name 30 Apr 20 DRRT/Therium bayerinvestorclaims@drrt.com INFORMATIONAL ONLY Amount OAKC01 22 Jan 20 INFORMATIONAL ONLY OAK ERS-LAZARD ASSET OAKL01 22 Jan 20 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 u Class Action Proceeds by Class Page 1 of 1 Message: No information found for request. User Selection: From date = 12/01/2019 Through date = 12/31/2019 Class Action Names for ECA Reporting = 0 TNT Event Status (Disbursing, Closed only) = ALL 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 23 Jan 20 10:01 Class Action Services u Class Action Proceeds by Account Page 1 of 1 Message: No information found for request. User Selection: From date = 12/01/2019 Through date = 12/31/2019 Class Action Names for ECA Reporting = 0 TNT Event Status (Disbursing, Closed only) = ALL 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 23 Jan 20 10:01 Class Action Services Page 1 of 1 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/ BAYER AG (GERMANY)20 May 16 29 Nov 19 30 Apr 20 Account Filed Security ID ID Type Trade Date Trans Type 22 Jan 20 CV NOTIFIED bayerinvestorclaims@drrt.comDRRT/THERIUM Price Net Currency Account Name OAKC01 DE000BAY0017 ISIN 20 May 16 OPNHOLD 4,276.00 0.000000 0.00 OAK ERS-LAZARD ASSET OAKC01 DE000BAY0017 ISIN 25 May 16 SALE -2,216.00 87.415700 193,441.99 EUR OAK ERS-LAZARD ASSET OAKC01 DE000BAY0017 ISIN 26 May 16 SALE -1,512.00 86.180600 130,122.64 EUR OAK ERS-LAZARD ASSET OAKC01 DE000BAY0017 ISIN 27 May 16 SALE -548.00 85.577400 46,830.76 EUR OAK ERS-LAZARD ASSET OAKC01 DE000BAY0017 ISIN 29 Nov 19 CLSHOLD1 0.00 0.000000 0.00 OAK ERS-LAZARD ASSET OAKL01 DE000BAY0017 ISIN 20 May 16 OPNHOLD 5,645.00 0.000000 0.00 OAK VEBA-LAZARD OAKL01 DE000BAY0017 ISIN 25 May 16 SALE -2,926.00 87.415700 255,420.25 EUR OAK VEBA-LAZARD OAKL01 DE000BAY0017 ISIN 26 May 16 SALE -1,996.00 86.180600 171,775.65 EUR OAK VEBA-LAZARD OAKL01 DE000BAY0017 ISIN 27 May 16 SALE -723.00 85.577400 61,785.84 EUR OAK VEBA-LAZARD OAKL01 DE000BAY0017 ISIN 29 Nov 19 CLSHOLD1 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.