HomeMy WebLinkAboutReports - 2020.03.31 - 33077Northern 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
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4
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61
68
71
78
79
134
137
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139
Class Action Services
Page 1 of 2
u Class Action Event Summary by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
CHONG HONG CONSTRUCT/GLOBAL VIEW TAIWAN 29 Sep 17
01 Dec 17
01 May 2010 Apr 20NOTIFIED www.sfipc.org.twSFIPC OF TAIWAN
INFORMATIONAL ONLY
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 2015 Apr 20NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 2016 Apr 20NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN
CARSON
CONSULTANTS
ESTIA HEALTH LIMITED (AUSTRALIA)12 Aug 15
06 Oct 16
27 Apr 2017 Apr 20NOTIFIED www.phifinneymcdonald.com/projects/estiaPHI FINNEY
MCDONALDINFORMATIONAL ONLY
EVERQUOTE, INC.20 Jun 18
05 Aug 19
25 Jun 20
28 May 20
28 May 2020 Apr 20NOTIFIED www.everquotesecuritieslitigation.comGILARDI
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 2031 Mar 20NOTIFIED cmorris@woodsfordlf.comWOODSFORD
LITIGATION
FUNDING LTD
INFORMATIONAL ONLY
GLENCORE PLC (UK) (QUINN EMANUEL)30 Sep 16
31 Dec 19
01 May 2021 Apr 20NOTIFIED www.innsworth.comINNSWORTH
ADVISORSINFORMATIONAL ONLY
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
09 Apr 20NOTIFIED www.abdatalawserve.comAB DATA
INFORMATIONAL ONLY
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 2009 Apr 20NOTIFIED www.innsworth.comINNSWORTH
ADVISORS, LTD.INFORMATIONAL ONLY
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 2006 Apr 20NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 2014 Apr 20NOTIFIED www.silverwheatonsettlement.comSTRATEGIC
CLAIMS SERVICES
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 2013 Apr 20NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC
CLAIMS
TREASURY WINE EST (AUS) 2020 (M. BLACKB)14 Feb 19
28 Jan 20
01 Jun 2017 Apr 20NOTIFIED www.mauriceblackburn.com.au/class-actionMAURICE
BLACKBURNINFORMATIONAL ONLY
WESTPAC BANKING CORP(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 2010 Apr 20NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY
MCDONALDINFORMATIONAL ONLY
Class Action Services
Page 2 of 2
u Class Action Event Summary by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 2010 Apr 20FILED www.valeantsecuritiessettlement.comGILARDI
BARCLAYS PLC (2014)01 Aug 11
23 Sep 14
07 Jun 19
10 May 19
10 May 1913 Apr 20DISBURSING www.barclayslxsecuritieslitigation.comJND LEGAL
ADMINISTRATION
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 1820 Apr 20DISBURSING www.cytrxsecuritiessettlement.comAB DATA
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 1803 Apr 20DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 1816 Apr 20DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 1820 Apr 20DISBURSING medtronicsecuritiessettlement.comGILARDI
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 1913 Apr 20DISBURSING www.rhsecuritieslitigation.com/AB DATA
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 1801 Apr 20DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
09 Apr 20CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 2015 Apr 20CLOSED www.sfipc.org.twSFIPC (TAIWAN)
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 1808 Apr 20CLOSED petrofac@innsworth.comINNSWORTH
ADVISORS LTD.INFORMATIONAL ONLY
SEAWORLD ENTERTAINMENT, INC.29 Aug 13
12 Aug 14 09 Apr 19
13 Apr 20CLOSED www.seaworldsecuritieslitigation.comEPIQ CLASS
ACTION & CLAIMS
SOLUTIONS, IN
INFORMATIONAL ONLY
Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from,
categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended
to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and
accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report.
Class Action Services
Page 1 of 2
u Class Action Event Summary by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
09 Apr 20CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
BARCLAYS PLC (2014)01 Aug 11
23 Sep 14
07 Jun 19
10 May 19
10 May 1913 Apr 20DISBURSING www.barclayslxsecuritieslitigation.comJND LEGAL
ADMINISTRATION
CHONG HONG CONSTRUCT/GLOBAL VIEW TAIWAN 29 Sep 17
01 Dec 17
01 May 2010 Apr 20NOTIFIED www.sfipc.org.twSFIPC OF TAIWAN
INFORMATIONAL ONLY
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 1820 Apr 20DISBURSING www.cytrxsecuritiessettlement.comAB DATA
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 2015 Apr 20NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 2016 Apr 20NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN
CARSON
CONSULTANTS
ESTIA HEALTH LIMITED (AUSTRALIA)12 Aug 15
06 Oct 16
27 Apr 2017 Apr 20NOTIFIED www.phifinneymcdonald.com/projects/estiaPHI FINNEY
MCDONALDINFORMATIONAL ONLY
EVERQUOTE, INC.20 Jun 18
05 Aug 19
25 Jun 20
28 May 20
28 May 2020 Apr 20NOTIFIED www.everquotesecuritieslitigation.comGILARDI
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 2031 Mar 20NOTIFIED cmorris@woodsfordlf.comWOODSFORD
LITIGATION
FUNDING LTD
INFORMATIONAL ONLY
GLENCORE PLC (UK) (QUINN EMANUEL)30 Sep 16
31 Dec 19
01 May 2021 Apr 20NOTIFIED www.innsworth.comINNSWORTH
ADVISORSINFORMATIONAL ONLY
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 1803 Apr 20DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 2015 Apr 20CLOSED www.sfipc.org.twSFIPC (TAIWAN)
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
09 Apr 20NOTIFIED www.abdatalawserve.comAB DATA
INFORMATIONAL ONLY
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 1816 Apr 20DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
Class Action Services
Page 2 of 2
u Class Action Event Summary by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 1820 Apr 20DISBURSING medtronicsecuritiessettlement.comGILARDI
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 2009 Apr 20NOTIFIED www.innsworth.comINNSWORTH
ADVISORS, LTD.INFORMATIONAL ONLY
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 1808 Apr 20CLOSED petrofac@innsworth.comINNSWORTH
ADVISORS LTD.INFORMATIONAL ONLY
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 2006 Apr 20NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 1913 Apr 20DISBURSING www.rhsecuritieslitigation.com/AB DATA
SEAWORLD ENTERTAINMENT, INC.29 Aug 13
12 Aug 14 09 Apr 19
13 Apr 20CLOSED www.seaworldsecuritieslitigation.comEPIQ CLASS
ACTION & CLAIMS
SOLUTIONS, IN
INFORMATIONAL ONLY
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 2014 Apr 20NOTIFIED www.silverwheatonsettlement.comSTRATEGIC
CLAIMS SERVICES
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 2013 Apr 20NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC
CLAIMS
TREASURY WINE EST (AUS) 2020 (M. BLACKB)14 Feb 19
28 Jan 20
01 Jun 2017 Apr 20NOTIFIED www.mauriceblackburn.com.au/class-actionMAURICE
BLACKBURNINFORMATIONAL ONLY
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 2010 Apr 20FILED www.valeantsecuritiessettlement.comGILARDI
WESTPAC BANKING CORP(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 2010 Apr 20NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY
MCDONALDINFORMATIONAL ONLY
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 1801 Apr 20DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
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 55
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/
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
SEDOL 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
B4KS9Q0
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
BCJSQF5
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC COM
BG3FB99
SEDOL 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
BHWRBQ0
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
BH5MJ80
SEDOL 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 BYVVTJ1
SEDOL 28 Feb 13
29 Oct 14
VEREIT INC COM BYZLN40
ISIN 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
US02917TAA25
ISIN 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
US02917TAB08
ISIN 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
US02917T1043
ISIN 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
US02917T4013
Class Action Services
Page 2 of 55
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/
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
ISIN 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 US92339V1008
ISIN 28 Feb 13
29 Oct 14
VEREIT INC PFD SER F US92339V2097
CUSIP 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
02917TAA2
CUSIP 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
02917TAB0
CUSIP 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
02917T104
CUSIP 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
02917T401
CUSIP 28 Feb 13
29 Oct 14
VEREIT INC PFD SER F 92339V209
CUSIP 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 92339V100
BARCLAYS PLC (2014)01 Aug 11
23 Sep 14
07 Jun 19
10 May 19
10 May 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.barclayslxsecuritieslitigation.comJND LEGAL
ADMINISTRATION
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2077756
Class Action Services
Page 3 of 55
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/
BARCLAYS PLC (2014)01 Aug 11
23 Sep 14
07 Jun 19
10 May 19
10 May 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.barclayslxsecuritieslitigation.comJND LEGAL
ADMINISTRATION
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2077767
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2193458
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR B3Y6QW8
ISIN 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR US06738E2046
CUSIP 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 06738E204
CHONG HONG CONSTRUCT/GLOBAL VIEW TAIWAN 29 Sep 17
01 Dec 17
01 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED www.sfipc.org.twSFIPC OF TAIWAN
INFORMATIONAL ONLY
SEDOL 29 Sep 17
01 Dec 17
CHONG HONG CONSTRU
TWD10
B06P956
SEDOL 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 B1R0CM5
ISIN 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 TW0003040002
ISIN 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
TW0005534002
Class Action Services
Page 4 of 55
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/
CHONG HONG CONSTRUCT/GLOBAL VIEW TAIWAN 29 Sep 17
01 Dec 17
01 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED www.sfipc.org.twSFIPC OF TAIWAN
INFORMATIONAL ONLY
CINS 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
Y1582T103
SEDOL 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 6317265
SEDOL 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
6511788
CINS 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 Y2722T102
CUSIP 29 Sep 17
01 Dec 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING www.cytrxsecuritiessettlement.comAB DATA
CUSIP 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP
EXCHANGED FOR CYTRX
232828103
ISIN 11 Sep 14
07 Oct 16
US2328281033
SEDOL 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
2248875
CUSIP 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
232828301
Class Action Services
Page 5 of 55
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/
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING www.cytrxsecuritiessettlement.comAB DATA
ISIN 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
US2328283013
CUSIP 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
232828509
ISIN 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
US2328285091
SEDOL 11 Sep 14
07 Oct 16
CYTRX CORP COM NEW B018057
SEDOL 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
B88VYK8
SEDOL 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001 B89FHH7
ISIN 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001
NEW
US2328286081
CUSIP 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001
NEW
232828608
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
SEDOL 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 14B2PNVT3
Class Action Services
Page 6 of 55
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/
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
SEDOL 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 14B295DT9
ISIN 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 14US25154A1088
CUSIP 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 1425154A108
CUSIP 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 1425154D102
ISIN 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 14US25154D1028
CUSIP 01 Nov 07
16 Feb 18
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
14 Mar 14181994104
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 20
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN CARSON
CONSULTANTS
CUSIP 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
29272U103
SEDOL 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
BYLY8D7
SEDOL 04 Jun 15
27 Sep 16
ENDOCHOICE HLDGS INC
COM
BZ0YG20
Class Action Services
Page 7 of 55
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/
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 20
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN CARSON
CONSULTANTS
ISIN 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
US29272U1034
ESTIA HEALTH LIMITED (AUSTRALIA)12 Aug 15
06 Oct 16
27 Apr 20
Security ID Type Security ID
Class Start
Class End
17 Apr 20
Specific Holding
NOTIFIED www.phifinneymcdonald.com/projects/estiaPHI FINNEY MCDONALD
INFORMATIONAL ONLY
CINS 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV Q3627L102
ISIN 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV AU000000EHE2
SEDOL 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV BSSWC52
SEDOL 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV BTC2N85
CUSIP 12 Aug 15
06 Oct 16
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
EVERQUOTE, INC.20 Jun 18
05 Aug 19
25 Jun 20
28 May 20
28 May 20
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
NOTIFIED www.everquotesecuritieslitigation.comGILARDI
Class Action Services
Page 8 of 55
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/
EVERQUOTE, INC.20 Jun 18
05 Aug 19
25 Jun 20
28 May 20
28 May 20
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
NOTIFIED www.everquotesecuritieslitigation.comGILARDI
CUSIP 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 1930041R108
SEDOL 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19BG88WS9
SEDOL 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19BKP9JC6
ISIN 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19US30041R1086
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 20
Security ID Type Security ID
Class Start
Class End
31 Mar 20
Specific Holding
NOTIFIED cmorris@woodsfordlf.comWOODSFORD LITIGATION
FUNDING LTDINFORMATIONAL ONLY
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BDCFP20
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BGPK697
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC BG6MV64
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BX19WN3
SEDOL 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
B3NFYS8
Class Action Services
Page 9 of 55
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/
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 20
Security ID Type Security ID
Class Start
Class End
31 Mar 20
Specific Holding
NOTIFIED cmorris@woodsfordlf.comWOODSFORD LITIGATION
FUNDING LTDINFORMATIONAL ONLY
SEDOL 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
B4MSCG9
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B4T3BW6
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B55NST3
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B77NQY6
CUSIP 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
G39420107
ISIN 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
JE00B4T3BW64
ISIN 03 May 11
31 Dec 19
USG394201077
ISIN 03 May 11
31 Dec 19
GLENCORE PLC ADR US37827X1000
CUSIP 03 May 11
31 Dec 19
GLENCORE PLC ADR 37827X100
CUSIP 03 May 11
31 Dec 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
Class Action Services
Page 10 of 55
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/
GLENCORE PLC (UK) (QUINN EMANUEL)30 Sep 16
31 Dec 19
01 May 20
Security ID Type Security ID
Class Start
Class End
21 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS
INFORMATIONAL ONLY
CUSIP 30 Sep 16
31 Dec 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 BDCFP20
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC BG6MV64
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 BX19WN3
SEDOL 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
B3NFYS8
SEDOL 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
B4MSCG9
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B4T3BW6
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B55NST3
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B77NQY6
CINS 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
G39420107
ISIN 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
JE00B4T3BW64
Class Action Services
Page 11 of 55
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/
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 18
Security ID Type Security ID
Class Start
Class End
03 Apr 20
Specific Holding
DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
CUSIP 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 1436191U106
CUSIP 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 1436191UAB2
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 14BH58W67
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14B4Y4QP2
SEDOL 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14B6TB704
ISIN 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14US36191U1060
CUSIP 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 143623E0209
SEDOL 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 14B1YXK12
ISIN 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 14US3623E02092
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14BRTM931
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14BSJC7P6
Class Action Services
Page 12 of 55
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/
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 18
Security ID Type Security ID
Class Start
Class End
03 Apr 20
Specific Holding
DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
ISIN 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 14US36191UAB26
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
CLOSED www.sfipc.org.twSFIPC (TAIWAN)
SEDOL 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERPRISE CO
TWD10
B011197
SEDOL 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERP ORD
SHS TWD10
B1RC2Y3
ISIN 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERPRISE CO
TWD10
TW0003313003
ISIN 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
TW0005201008
ISIN 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
TW0005386007
ISIN 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY TW0006241003
ISIN 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
TW0009906008
CINS 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY Y0121D108
Class Action Services
Page 13 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
CLOSED www.sfipc.org.twSFIPC (TAIWAN)
CINS 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
Y1627M105
CINS 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
Y1754R109
CINS 08 Mar 16
20 Jan 17
Y2481Q117
SEDOL 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
6155517
SEDOL 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
6224547
SEDOL 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
6293279
SEDOL 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY 6431693
CINS 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
Y4519D100
CUSIP 08 Mar 16
20 Jan 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.abdatalawserve.comAB DATA
INFORMATIONAL ONLY
Class Action Services
Page 14 of 55
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/
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.abdatalawserve.comAB DATA
INFORMATIONAL ONLY
SEDOL 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
B4QRG71
SEDOL 03 Mar 15
25 Jan 16
INSYS THERAPEUTICS INC
NEW COM NEW
B4YXNL4
SEDOL 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
B63NPQ8
ISIN 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
US45824V1008
ISIN 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
US45824V2097
CUSIP 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
45824V100
CUSIP 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
45824V209
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 18
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
ISIN 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 15US92205F1066
SEDOL 28 Aug 15
22 Aug 18
VANGUARD NAT RES LLC
COM UNIT REPSTG LTD
05 Oct 15B29LK85
Class Action Services
Page 15 of 55
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/
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 18
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
SEDOL 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 15B27Y8G0
ISIN 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 15US50214A1043
SEDOL 28 Aug 15
22 Aug 18
LRR ENERGY LP COM 05 Oct 15B76KXV4
SEDOL 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 15B6TXNW4
CUSIP 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 1592205F106
CUSIP 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 1550214A104
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING medtronicsecuritiessettlement.comGILARDI
SEDOL 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 112575465
CUSIP 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 11585055106
Class Action Services
Page 16 of 55
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/
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING medtronicsecuritiessettlement.comGILARDI
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 114552187
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11B043LW3
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11BHZLM44
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11BSJC8F3
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11BTN1Y11
ISIN 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 11US5850551061
ISIN 07 Sep 10
26 Sep 11
28 Jun 11USG5960L1038
ISIN 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11IE00BTN1Y115
CUSIP 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11G5960L103
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS,
LTD.INFORMATIONAL ONLY
Class Action Services
Page 17 of 55
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/
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS,
LTD.INFORMATIONAL ONLY
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B0H2K53
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B0LWHB4
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B11B6G6
ISIN 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 GB00B0H2K534
CUSIP 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 G7052T101
CUSIP 02 Feb 09
03 Apr 20
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 18
Security ID Type Security ID
Class Start
Class End
08 Apr 20
Specific Holding
CLOSED petrofac@innsworth.comINNSWORTH ADVISORS
LTD.INFORMATIONAL ONLY
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B0LWHB4
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B11B6G6
CUSIP 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 G7052T101
Class Action Services
Page 18 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 18
Security ID Type Security ID
Class Start
Class End
08 Apr 20
Specific Holding
CLOSED petrofac@innsworth.comINNSWORTH ADVISORS
LTD.INFORMATIONAL ONLY
ISIN 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 GB00B0H2K534
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B0H2K53
CUSIP 01 Jan 13
31 May 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG31
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG49
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG56
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.8%
13033WRZ8
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSA2
Class Action Services
Page 19 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.7%
13033WSB0
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
13033WSC8
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.3%
BDS 01/12/27 USD
U69430AE3
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.95%
SNR 01/12/2047
U69430AF0
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.25%
SNR 01/08/23 US
U69430AG8
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.65%
SNR 01/08/2028
U69430AH6
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF73
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF81
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF99
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG23
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.1%
13033WSD6
Class Action Services
Page 20 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSE4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSF1
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WU84
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WU92
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW25
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW33
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW41
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW58
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3G6
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3H4
Class Action Services
Page 21 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3J0
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3K7
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3Z4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH RES R
130535BA4
ISIN 28 Apr 15
15 Nov 18
US694308EK92
ISIN 28 Apr 15
15 Nov 18
US694308EL75
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EM58
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
US694308EN32
ISIN 28 Apr 15
15 Nov 18
US694308EP89
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 01 NOV 2022
US694308EQ62
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 MAR 2026
US694308ET02
Class Action Services
Page 22 of 55
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EV57
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
US694308EX14
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EY96
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.75% 01 OCT 2023
US694308EZ61
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BG0
CUSIP 28 Apr 15
15 Nov 18
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13034ASX9
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
13034ASZ4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534A83
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534A91
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 4.75%
130534B25
Class Action Services
Page 23 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 4.75%
130534B33
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534B66
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534WY2
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH VAR
130534XA3
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XD7
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XE5
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XL9
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XX3
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
130534ZP8
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 3.5%
130534ZQ6
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
130534ZR4
Class Action Services
Page 24 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534ZS2
CUSIP 28 Apr 15
15 Nov 18
NV IRR DIST CAL YUBA-
BEAR RIV DEV 3.75%
641321BT0
CUSIP 28 Apr 15
15 Nov 18
PG&E CORP COM 69331C108
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 91A
694308DV6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EF0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EG8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EJ2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELECTRIC CO
1ST & REF
694308EK9
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG
694308EL7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EM5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
694308EN3
Class Action Services
Page 25 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EP8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 01 NOV 2022
694308EQ6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 MAR 2026
694308ET0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EV5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
694308EX1
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EY9
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GV30
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.625% 30 NOV 2017
US694308GL57
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GM31
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 15 OCT 2018
US694308GN14
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.25% 01
US694308GQ45
Class Action Services
Page 26 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308GS01
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308GT83
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GW13
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308GY78
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PAC GAS & ELEC
CO SR NT 4.45%
US694308GZ44
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HA83
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
2.45% 15 AUG 2022
US694308HB66
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308HC40
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HD23
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HE06
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG DTD 06 JAN
US694308FB84
Class Action Services
Page 27 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
US694308FF98
ISIN 28 Apr 15
15 Nov 18
US694308FG71
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
US694308FJ11
ISIN 28 Apr 15
15 Nov 18
US694308FM40
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG NATL-IBC D
US694308FP70
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 1993
US694308FQ53
ISIN 28 Apr 15
15 Nov 18
US694308FR37
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG & REF 92D
US694308FW22
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG NATL
US694308FX05
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 93A
US694308FY87
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG AMBA
US694308FZ52
Class Action Services
Page 28 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.05%
US694308GE15
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.05% 01 MAR 2034
US694308GH46
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308GJ02
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.8% 01 MAR 2037
US694308GK74
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HF70
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELECTRIC CO 0.0%
US694308HG53
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HH37
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
.42335%
US694308HJ92
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
3.4% 15 AUG 2024
US694308HK65
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
4.3% 15 MAR 2045
US694308HL49
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HM22
Class Action Services
Page 29 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308HN05
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HP52
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG
US694308HQ36
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HR19
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HS91
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
US694308HT74
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
US694308HU48
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.3%
US694308HV21
ISIN 28 Apr 15
15 Nov 18
INDEFAULTED PACIFIC GAS &
ELEC CO 3.3%
US694308HW04
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.95%
US694308HX86
ISIN 28 Apr 15
15 Nov 18
DEFAULTEDPACIFIC GAS &
ELEC CO 0.0%
US694308HY69
Class Action Services
Page 30 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO SR NT 14
US694308HZ35
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308JA65
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 6%
US6943082064
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5.50%
US6943083054
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5%
US6943084045
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD 5%
US6943085034
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD SER A
US6943086024
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.80%
US6943087014
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.50%
US6943088004
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.36%
US6943088830
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125AM89
Class Action Services
Page 31 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125AN62
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125BC98
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125BG03
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC FR SNR
11/18 USD10000
U69430AD5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 6%
694308206
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5.50%
694308305
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5%
694308404
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.95%
694308HX8
CUSIP 28 Apr 15
15 Nov 18
DEFAULTEDPACIFIC GAS &
ELEC CO 0.0%
694308HY6
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO SR NT 14
694308HZ3
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308JA6
Class Action Services
Page 32 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD 5%
694308503
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD SER A
694308602
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.80%
694308701
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.50%
694308800
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.36%
694308883
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125AM8
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125AN6
CUSIP 28 Apr 15
15 Nov 18
SOLANO CAL IRR DIST
HYDROELECTRIC 5.29%
834125AY2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.75% 01 OCT 2023
694308EZ6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG DTD 06 JAN
694308FB8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
694308FF9
Class Action Services
Page 33 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG-FSA-
694308FG7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
694308FJ1
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG-92C
694308FM4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG NATL-IBC D
694308FP7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 1993
694308FQ5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308FR3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG & REF 92D
694308FW2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG NATL
694308FX0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 93A
694308FY8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG AMBA
694308FZ5
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.05%
694308GE1
Class Action Services
Page 34 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.05% 01 MAR 2034
694308GH4
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308GJ0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.8% 01 MAR 2037
694308GK7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.625% 30 NOV 2017
694308GL5
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GM3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 15 OCT 2018
694308GN1
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.25% 01
694308GQ4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308GS0
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308GT8
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GV3
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GW1
Class Action Services
Page 35 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308GY7
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PAC GAS & ELEC
CO SR NT 4.45%
694308GZ4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HA8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
2.45% 15 AUG 2022
694308HB6
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308HC4
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HD2
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HE0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HF7
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELECTRIC CO 0.0%
694308HG5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HH3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
.42335%
694308HJ9
Class Action Services
Page 36 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
3.4% 15 AUG 2024
694308HK6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
4.3% 15 MAR 2045
694308HL4
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HM2
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.65%
SNR 01/08/2028
USU69430AH66
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13033W3H41
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13033W3J07
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13034ASX99
ISIN 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
US13034ASZ48
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH VAR
US130534XA35
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XD73
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XL99
Class Action Services
Page 37 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XX38
ISIN 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
US130534ZR42
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH RES R
US130535BA48
ISIN 28 Apr 15
15 Nov 18
PG&E CORP COM US69331C1080
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 91A
US694308DV66
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EF08
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EG80
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EJ20
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308HN0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HP5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG
694308HQ3
Class Action Services
Page 38 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HR1
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HS9
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
694308HT7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
694308HU4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.3%
694308HV2
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC FR SNR
11/18 USD10000
USU69430AD52
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.3%
BDS 01/12/27 USD
USU69430AE36
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.95%
SNR 01/12/2047
USU69430AF01
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.25%
SNR 01/08/23 US
USU69430AG83
CUSIP 28 Apr 15
15 Nov 18
INDEFAULTED PACIFIC GAS &
ELEC CO 3.3%
694308HW0
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BC9
Class Action Services
Page 39 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BF2
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.rhsecuritieslitigation.com/AB DATA
CUSIP 25 Mar 15
06 Sep 16
RH COM 74967X103
SEDOL 25 Mar 15
06 Sep 16
RESTORATION HARDWARE
HLDGS INC COM
BGLNNJ9
SEDOL 25 Mar 15
06 Sep 16
RH COM BYNZXP5
SEDOL 25 Mar 15
06 Sep 16
RH COM BYXL621
SEDOL 25 Mar 15
06 Sep 16
RH COM BYXR425
SEDOL 25 Mar 15
06 Sep 16
RESTORATION HARDWARE
HLDGS INC COM
B8HWSV1
SEDOL 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
B8V9GG9
ISIN 25 Mar 15
06 Sep 16
RH COM US74967X1037
Class Action Services
Page 40 of 55
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/
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.rhsecuritieslitigation.com/AB DATA
ISIN 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
US7612831005
CUSIP 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
761283100
SEAWORLD ENTERTAINMENT, INC.29 Aug 13
12 Aug 14 09 Apr 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
CLOSED www.seaworldsecuritieslitigation.comEPIQ CLASS ACTION &
CLAIMS SOLUTIONS, ININFORMATIONAL ONLY
CUSIP 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM 81282V100
SEDOL 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM B6T8NY1
SEDOL 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM B84KWJ4
ISIN 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM US81282V1008
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 20
Security ID Type Security ID
Class Start
Class End
14 Apr 20
Specific Holding
NOTIFIED www.silverwheatonsettlement.comSTRATEGIC CLAIMS
SERVICES
Class Action Services
Page 41 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 20
Security ID Type Security ID
Class Start
Class End
14 Apr 20
Specific Holding
NOTIFIED www.silverwheatonsettlement.comSTRATEGIC CLAIMS
SERVICES
CUSIP 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
828336107
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
BJ053P3
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
BSJC637
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
B05DVK0
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
B058ZX6
SEDOL 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
B059001
ISIN 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
CA8283361076
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 20
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC CLAIMS
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM PHARMACEU
USD0.001
BL4S4J3
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
B1BPWB5
Class Action Services
Page 42 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 20
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC CLAIMS
ISIN 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM US6406561042
ISIN 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM
NEW
US6406563022
ISIN 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
US84763A1088
ISIN 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
144A
US84763A2078
SEDOL 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM 2646316
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
2982924
CUSIP 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM 640656104
CUSIP 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM
NEW
640656302
CUSIP 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
144A
84763A207
CUSIP 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
84763A108
Class Action Services
Page 43 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
TREASURY WINE EST (AUS) 2020 (M. BLACKB)14 Feb 19
28 Jan 20
01 Jun 20
Security ID Type Security ID
Class Start
Class End
17 Apr 20
Specific Holding
NOTIFIED www.mauriceblackburn.com.au/class-actionMAURICE BLACKBURN
INFORMATIONAL ONLY
ISIN 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
AU000000TWE9
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV BHL1YP3
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV B3TRC28
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV B4W54B9
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
B61JC67
CINS 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
Q9194S107
CUSIP 14 Feb 19
28 Jan 20
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS 5.375%
15 Mar 16C96729AA3
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 16US91911XAM65
Class Action Services
Page 44 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 16US91911XAQ79
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 16US91911XAS36
ISIN 03 Jan 13
02 Sep 16
#REORG/VALEANT STOCK
MERGER VALEANT
15 Mar 16US91911X1046
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 7.5%
15 Mar 16US92912EAA10
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% 15 AUG
15 Mar 16US92912EAC75
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL 7%
SNR NTS
15 Mar 16U9098VAE2
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US91911KAB89
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAC62
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAD46
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAE29
Class Action Services
Page 45 of 55
u Class Action Event Detail by Event Name
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAF93
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAG76
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAH59
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US91911K1025
CUSIP 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16071734107
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 1691829KAA1
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
USD SR NT
15 Mar 1691831AAA9
CUSIP 03 Jan 13
02 Sep 16
VRX ESCROW CORP 5.875%
NTS 15/05/2023
15 Mar 1691831AAB7
CUSIP 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
144A 6.125%
15 Mar 1691831AAC5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAA0
Class Action Services
Page 46 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAB8
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAC6
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAD4
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAE2
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAF9
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAG7
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAH5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 1691911K102
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 1691911XAM6
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 1691911XAQ7
Class Action Services
Page 47 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 1691911XAS3
CUSIP 03 Jan 13
02 Sep 16
TRW INC COM STK CALL
OPTION
15 Mar 1691911X0L9
CUSIP 03 Jan 13
02 Sep 16
#REORG/VALEANT STOCK
MERGER VALEANT
15 Mar 1691911X104
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 7.5%
15 Mar 1692912EAA1
SEDOL 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% DUE 15
15 Mar 16BBVJDP8
SEDOL 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16BBVJDR0
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH
COMPANIES INC 7.5%
15 Mar 16BC9S9X4
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BFFVVC1
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BFFY852
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JBN6
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JBP8
Class Action Services
Page 48 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JB69
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5J6H5
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16BGLVXJ3
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BJ056T8
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BR3HZZ6
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BSJC682
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% 15 AUG
15 Mar 1692912EAC7
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16BVFJNT8
SEDOL 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
NT 144A 5.875% DU
15 Mar 16BWD1Y23
SEDOL 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
NT 144A 5.375% DU
15 Mar 16BWD1ZZ3
Class Action Services
Page 49 of 55
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Event
Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
6.125% SNR
15 Mar 16BWD21S1
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16B3XSX46
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 16B4L3MP4
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16B4M1HS5
SEDOL 03 Jan 13
02 Sep 16
#REORG/VALEANT NAME
CHANGE & CUSIP CHANG
15 Mar 16B41NYV4
SEDOL 03 Mar 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 16B58Q929
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 16B60L758
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 16B8C2861
ISIN 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16CA0717341071
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16CA91911K1021
Class Action Services
Page 50 of 55
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Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CINS 03 Jan 13
02 Sep 16
15 Mar 16C94143AB7
CINS 03 Jan 13
02 Sep 16
15 Mar 16C94143AC5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS
15 Mar 16C94143AD3
CUSIP 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
5.5% 01 MAR 2023
15 Mar 16C94143AE1
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16C96715AA2
ISIN 03 Jan 13
02 Sep 16
15 Mar 16USC94143AB74
ISIN 03 Jan 13
02 Sep 16
15 Mar 16USC94143AC57
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS
15 Mar 16USC94143AD31
ISIN 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
5.5% 01 MAR 2023
15 Mar 16USC94143AE14
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16USC96715AA29
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
5.375%
15 Mar 16USC96729AA31
Class Action Services
Page 51 of 55
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Event Status
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Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL 7%
SNR NTS
15 Mar 16USU9098VAE21
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US0717341079
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 16US91829KAA16
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
USD SR NT
15 Mar 16US91831AAA97
ISIN 03 Jan 13
02 Sep 16
VRX ESCROW CORP 5.875%
NTS 15/05/2023
15 Mar 16US91831AAB70
ISIN 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
144A 6.125%
15 Mar 16US91831AAC53
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAA07
SEDOL 03 Jan 13
02 Sep 16
#REORG BIOVAIL CORP INTL
NEW COM N/C TO
15 Mar 162098199
CUSIP 03 Jan 13
02 Sep 16
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
15 Mar 16181994104
Class Action Services
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Status
Event Status
As Of
Class Start
Class End
Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
WESTPAC BANKING CORP(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD
INFORMATIONAL ONLY
ISIN 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
AU000000WBC1
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
ADR(EACH REP 1 ORD NPV)
BD6TKB2
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP NPV BHZKQV6
SEDOL 16 Dec 13
19 Nov 19
#REORG/WESTPAC BKG
CORPORATION MANDATORY
B01D654
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
B043NB6
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
B65BWQ9
CUSIP 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
Q97417101
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
2956736
CUSIP 16 Dec 13
19 Nov 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING CORP
AUD1
5412183
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6076146
Class Action Services
Page 53 of 55
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(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD
INFORMATIONAL ONLY
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6956527
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6957393
CUSIP 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
961214301
ISIN 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
US9612143019
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM 984332106
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320S6
SEDOL 29 Apr 13
14 Mar 17
BDCCQ40
ISIN 29 Apr 13
14 Mar 17
YAHOO INC COM US9843321061
SEDOL 29 Apr 13
14 Mar 17
#REORG/ YAHOO INC NAME
CHANGE ALTABA INC
2986539
Class Action Services
Page 54 of 55
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/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 29 Apr 13
14 Mar 17
YAHOO! INC COM STK CALL
OPTION
9843320A5
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $15.00 PER
9843320B3
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $30.00 PER
9843320C1
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK CALL
OPTION APR3 25
9843320D9
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $27.50 PER
9843320E7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $30.00 PER
9843320F4
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $25.00 PER
9843320G2
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $25.00 PER
9843320H0
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK CALL
OPTION
9843320I8
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $20.00 PER
9843320J6
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $35.00 PER S
9843320K3
Class Action Services
Page 55 of 55
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/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $16.00 PER
9843320L1
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320M9
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC PUT OPTION
W/STK $25.00 PER
9843320N7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC PUT OPTION
W/STK $20.00 PER
9843320P2
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320Q0
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320W7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM 144A 984332205
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 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Account
Filed
Security ID ID Type Trade Date Trans Type
13 Apr 20
CV
DISBURSING www.rhsecuritieslitigation.com/AB DATA
Price Net Currency Account Name
2625874 761283100 CUSIP 25 Mar 15 OPNHOLD 2,147.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 25 Mar 15 SALE -456.00 94.024561 42,875.20 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 27 Jul 15 SALE -269.00 102.732602 27,635.07 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 14 Oct 15 PURCHASE 171.00 96.873743 -16,565.41 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 09 Dec 15 SALE -41.00 89.003171 3,649.13 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 09 Dec 15 SALE -250.00 88.378280 22,094.57 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 22 Feb 16 SALE -943.00 51.524263 48,587.38 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 22 Feb 16 SALE -359.00 51.981337 18,661.30 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 06 Sep 16 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 25 Mar 15 OPNHOLD 2,506.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 27 Jul 15 SALE -398.00 102.732588 40,887.57 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 14 Oct 15 PURCHASE 268.00 96.873694 -25,962.15 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 09 Dec 15 SALE -372.00 88.378253 32,876.71 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 09 Dec 15 SALE -62.00 89.003226 5,518.20 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 22 Feb 16 SALE -1,407.00 51.524272 72,494.65 USD OAK VEBA - LOOMIS
SAYLES SM
Class Action Services
Page 2 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Account
Filed
Security ID ID Type Trade Date Trans Type
13 Apr 20
CV
DISBURSING www.rhsecuritieslitigation.com/AB DATA
Price Net Currency Account Name
2626012 761283100 CUSIP 22 Feb 16 SALE -535.00 51.981346 27,810.02 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 06 Sep 16 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKC03 91829KAA1 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 01 Aug 14 RECEIPT 220,000.00 0.000000 0.00 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 02 Mar 16 SALE -10,000.00 92.264600 9,226.46 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 03 Mar 16 SALE -15,000.00 91.782267 13,767.34 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 07 Mar 16 SALE -10,000.00 92.567700 9,256.77 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 09 Mar 16 SALE -20,000.00 92.888550 18,577.71 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 11 Mar 16 SALE -25,000.00 94.048960 23,512.24 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 11 Mar 16 SALE -25,000.00 93.923960 23,480.99 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 15 Mar 16 CLSHOLD1 115,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 02 Sep 16 CLSHOLD2 115,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
Class Action Services
Page 3 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKC03 91911KAE2 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 15 Jan 15 PURCHASE 105,000.00 100.000000 -105,000.00 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 15 Mar 16 CLSHOLD1 105,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 02 Sep 16 CLSHOLD2 105,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 04 Aug 14 RECEIPT 235,000.00 0.000000 0.00 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 18 Sep 14 PURCHASE 250,000.00 106.547916 -266,369.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -5,000.00 89.247800 4,462.39 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 27 Oct 15 SALE -10,000.00 89.140600 8,914.06 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 28 Oct 15 SALE -20,000.00 89.301050 17,860.21 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 02 Mar 16 SALE -25,000.00 92.264600 23,066.15 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 03 Mar 16 SALE -30,000.00 91.782300 27,534.69 USD OAK VEBA-LOOMIS
SAYLES
Class Action Services
Page 4 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKL03 91829KAA1 CUSIP 07 Mar 16 SALE -20,000.00 92.567700 18,513.54 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 09 Mar 16 SALE -40,000.00 92.888525 37,155.41 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 11 Mar 16 SALE -50,000.00 93.923960 46,961.98 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 11 Mar 16 SALE -65,000.00 94.048969 61,131.83 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 15 Mar 16 CLSHOLD1 190,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 02 Sep 16 CLSHOLD2 190,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 15 Jan 15 PURCHASE 45,000.00 100.000000 -45,000.00 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 15 Mar 16 CLSHOLD1 45,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 02 Sep 16 CLSHOLD2 45,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2625873 984332106 CUSIP 29 Apr 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 1,000.00 44.585400 -44,585.40 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 5 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 400.00 44.445000 -17,778.00 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 2,300.00 44.135000 -101,510.50 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 1,900.00 44.585500 -84,712.45 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 18 Feb 15 PURCHASE 2,200.00 43.509500 -95,720.90 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 23 Feb 15 PURCHASE 400.00 43.741200 -17,496.48 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 26 Feb 15 PURCHASE 800.00 44.584600 -35,667.68 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 01 May 15 SALE -600.00 42.298317 25,378.99 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 12 May 15 SALE -1,000.00 43.837990 43,837.99 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 25 Aug 15 SALE -200.00 32.220800 6,444.16 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 15 Sep 15 PURCHASE 600.00 30.793800 -18,476.28 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 28 Oct 15 SALE -500.00 35.176840 17,588.42 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Nov 15 PURCHASE 700.00 34.979100 -24,485.37 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Feb 16 SALE -700.00 28.398271 19,878.79 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Jan 17 SALE -804.00 39.831530 32,024.55 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 17 SALE -300.00 43.921533 13,176.46 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 24 Feb 17 SALE -300.00 45.541500 13,662.45 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 14 Mar 17 CLSHOLD1 5,896.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2626004 984332106 CUSIP 29 Apr 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 6 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 3,600.00 44.135000 -158,886.00 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 1,500.00 44.585400 -66,878.10 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 3,000.00 44.585500 -133,756.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 700.00 44.445000 -31,111.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 18 Feb 15 PURCHASE 3,300.00 43.509500 -143,581.35 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 23 Feb 15 PURCHASE 600.00 43.741200 -26,244.72 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 26 Feb 15 PURCHASE 1,200.00 44.584600 -53,501.52 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 11 Mar 15 PURCHASE 100.00 42.620000 -4,262.00 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 01 May 15 SALE -1,000.00 42.298320 42,298.32 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 12 May 15 SALE -1,500.00 43.837987 65,756.98 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 27 May 15 SALE -200.00 43.371700 8,674.34 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Jun 15 PURCHASE 100.00 42.885000 -4,288.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 05 Aug 15 PURCHASE 100.00 37.255000 -3,725.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 25 Aug 15 SALE -400.00 32.220800 12,888.32 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 15 Sep 15 PURCHASE 800.00 30.793800 -24,635.04 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 7 of 7
u Class Action Filed Activity by Event Name
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2626004 984332106 CUSIP 28 Oct 15 SALE -300.00 35.176833 10,553.05 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Nov 15 PURCHASE 1,200.00 34.979100 -41,974.92 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 28 Dec 15 SALE -400.00 33.591875 13,436.75 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Feb 16 SALE -1,200.00 28.398275 34,077.93 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 28 Apr 16 SALE -100.00 36.581700 3,658.17 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 27 Jul 16 SALE -120.00 38.651583 4,638.19 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Jan 17 SALE -1,280.00 39.831523 50,984.35 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 17 SALE -200.00 43.921500 8,784.30 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 24 Feb 17 SALE -300.00 45.541500 13,662.45 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 14 Mar 17 CLSHOLD1 9,200.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from,
categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended
to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and
accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report.
Class Action Services
Page 1 of 3
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
INSYS THERAPEUTICS INC. (2016)NOTIFIED 09 Apr 20 03 Mar 15
25 Jan 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
30 Apr 20
AB Data www.abdatalawserve.com
INFORMATIONAL ONLY
Amount
2625874 09 Apr 20
INFORMATIONAL ONLY
OAK ERS - LOOMIS SAYLES SM
2626012 09 Apr 20
INFORMATIONAL ONLY
OAK VEBA - LOOMIS SAYLES SM
PG&E CORP. BANKRUPTCY NOTIFIED 06 Apr 20 28 Apr 15
15 Nov 18
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
16 Apr 20 Prime Clerk https://restructuring.primeclerk.com/
pgeINFORMATIONAL ONLY
Amount
2625873 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - T.ROWE PRICE
2625902 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - WEDGE
2625905 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - CS MCKEE
2626004 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - T.ROWE PRICE
2626020 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - WEDGE
2626047 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - CS MCKEE
Class Action Services
Page 2 of 3
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
PG&E CORP. BANKRUPTCY NOTIFIED 06 Apr 20 28 Apr 15
15 Nov 18
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
16 Apr 20 Prime Clerk https://restructuring.primeclerk.com/
pgeINFORMATIONAL ONLY
Amount
2648039 06 Apr 20
INFORMATIONAL ONLY
OAK SMB - CS MCKEE
RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBURSING 13 Apr 20 25 Mar 15
06 Sep 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
08 Oct 19 01 Oct 19
01 Oct 19
AB Data www.rhsecuritieslitigation.com/
Amount
2625874 13 Apr 20 95.80
CASH
1 13 Apr 20
PAID
2625874 OAK ERS - LOOMIS
SAYLES SM
OAK ERS - LOOMIS SAYLES SM
USD
2626012 13 Apr 20 150.14
CASH
1 13 Apr 20
PAID
2626012 OAK VEBA - LOOMIS
SAYLES SM
OAK VEBA - LOOMIS SAYLES SM
USD
VALEANT PHARMACEUTICALS INTL INC. (2015)FILED 10 Apr 20 03 Jan 13
02 Sep 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
06 May 20 06 May 20
06 May 20
Gilardi www.ValeantSecuritiesSettlement.c
om
Amount
OAKC03 10 Apr 20
FILED
OAK ERS-LOOMIS SAYLES
OAKL03 10 Apr 20
FILED
OAK VEBA-LOOMIS SAYLES
Class Action Services
Page 3 of 3
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
YAHOO! INC. (2017)DISBURSING 01 Apr 20 29 Apr 13
14 Mar 17
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
01 Sep 18 16 Aug 18
16 Aug 18
JND Legal Administration www.yahoosecuritieslitigation.com
Amount
2625873 01 Apr 20 459.57
CASH
1 01 Apr 20
PAID
2625873 OAK ERS - T.ROWE
PRICE
OAK ERS - T.ROWE PRICE
USD
2626004 01 Apr 20 710.83
CASH
1 01 Apr 20
PAID
2626004 OAK VEBA - T.ROWE
PRICE
OAK VEBA - T.ROWE PRICE
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.
Class Action Services
Page 1 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKC03 91829KAA1 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 01 Aug 14 RECEIPT 220,000.00 0.000000 0.00 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 02 Mar 16 SALE -10,000.00 92.264600 9,226.46 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 03 Mar 16 SALE -15,000.00 91.782267 13,767.34 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 07 Mar 16 SALE -10,000.00 92.567700 9,256.77 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 09 Mar 16 SALE -20,000.00 92.888550 18,577.71 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 11 Mar 16 SALE -25,000.00 93.923960 23,480.99 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 11 Mar 16 SALE -25,000.00 94.048960 23,512.24 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 15 Mar 16 CLSHOLD1 115,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91829KAA1 CUSIP 02 Sep 16 CLSHOLD2 115,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 15 Jan 15 PURCHASE 105,000.00 100.000000 -105,000.00 USD OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 15 Mar 16 CLSHOLD1 105,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKC03 91911KAE2 CUSIP 02 Sep 16 CLSHOLD2 105,000.00 0.000000 0.00 OAK ERS-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
Class Action Services
Page 2 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKL03 91829KAA1 CUSIP 04 Aug 14 RECEIPT 235,000.00 0.000000 0.00 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 18 Sep 14 PURCHASE 250,000.00 106.547916 -266,369.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -5,000.00 89.247800 4,462.39 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 26 Oct 15 SALE -10,000.00 89.247900 8,924.79 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 27 Oct 15 SALE -10,000.00 89.140600 8,914.06 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 28 Oct 15 SALE -20,000.00 89.301050 17,860.21 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 02 Mar 16 SALE -25,000.00 92.264600 23,066.15 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 03 Mar 16 SALE -30,000.00 91.782300 27,534.69 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 07 Mar 16 SALE -20,000.00 92.567700 18,513.54 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 09 Mar 16 SALE -40,000.00 92.888525 37,155.41 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 11 Mar 16 SALE -65,000.00 94.048969 61,131.83 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 11 Mar 16 SALE -50,000.00 93.923960 46,961.98 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91829KAA1 CUSIP 15 Mar 16 CLSHOLD1 190,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
Class Action Services
Page 3 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Account
Filed
Security ID ID Type Trade Date Trans Type
10 Apr 20
CV
FILED www.valeantsecuritiessettlement.comGILARDI
Price Net Currency Account Name
OAKL03 91829KAA1 CUSIP 02 Sep 16 CLSHOLD2 190,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 03 Jan 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 15 Jan 15 PURCHASE 45,000.00 100.000000 -45,000.00 USD OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 15 Mar 16 CLSHOLD1 45,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
OAKL03 91911KAE2 CUSIP 02 Sep 16 CLSHOLD2 45,000.00 0.000000 0.00 OAK VEBA-LOOMIS
SAYLES
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Account
Filed
Security ID ID Type Trade Date Trans Type
13 Apr 20
CV
DISBURSING www.rhsecuritieslitigation.com/AB DATA
Price Net Currency Account Name
2625874 761283100 CUSIP 25 Mar 15 OPNHOLD 2,147.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 25 Mar 15 SALE -456.00 94.024561 42,875.20 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 27 Jul 15 SALE -269.00 102.732602 27,635.07 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 14 Oct 15 PURCHASE 171.00 96.873743 -16,565.41 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 09 Dec 15 SALE -250.00 88.378280 22,094.57 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 09 Dec 15 SALE -41.00 89.003171 3,649.13 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 22 Feb 16 SALE -359.00 51.981337 18,661.30 USD OAK ERS - LOOMIS
SAYLES SM
Class Action Services
Page 4 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Account
Filed
Security ID ID Type Trade Date Trans Type
13 Apr 20
CV
DISBURSING www.rhsecuritieslitigation.com/AB DATA
Price Net Currency Account Name
2625874 761283100 CUSIP 22 Feb 16 SALE -943.00 51.524263 48,587.38 USD OAK ERS - LOOMIS
SAYLES SM
2625874 761283100 CUSIP 06 Sep 16 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 25 Mar 15 OPNHOLD 2,506.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 27 Jul 15 SALE -398.00 102.732588 40,887.57 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 14 Oct 15 PURCHASE 268.00 96.873694 -25,962.15 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 09 Dec 15 SALE -62.00 89.003226 5,518.20 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 09 Dec 15 SALE -372.00 88.378253 32,876.71 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 22 Feb 16 SALE -535.00 51.981346 27,810.02 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 22 Feb 16 SALE -1,407.00 51.524272 72,494.65 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 761283100 CUSIP 06 Sep 16 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2625873 984332106 CUSIP 29 Apr 13 OPNHOLD 0.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 1,900.00 44.585500 -84,712.45 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 2,300.00 44.135000 -101,510.50 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 5 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 400.00 44.445000 -17,778.00 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 15 PURCHASE 1,000.00 44.585400 -44,585.40 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 18 Feb 15 PURCHASE 2,200.00 43.509500 -95,720.90 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 23 Feb 15 PURCHASE 400.00 43.741200 -17,496.48 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 26 Feb 15 PURCHASE 800.00 44.584600 -35,667.68 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 01 May 15 SALE -600.00 42.298317 25,378.99 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 12 May 15 SALE -1,000.00 43.837990 43,837.99 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 25 Aug 15 SALE -200.00 32.220800 6,444.16 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 15 Sep 15 PURCHASE 600.00 30.793800 -18,476.28 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 28 Oct 15 SALE -500.00 35.176840 17,588.42 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Nov 15 PURCHASE 700.00 34.979100 -24,485.37 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Feb 16 SALE -700.00 28.398271 19,878.79 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 04 Jan 17 SALE -804.00 39.831530 32,024.55 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 30 Jan 17 SALE -300.00 43.921533 13,176.46 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 24 Feb 17 SALE -300.00 45.541500 13,662.45 USD OAK ERS - T.ROWE PRICE
2625873 984332106 CUSIP 14 Mar 17 CLSHOLD1 5,896.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2626004 984332106 CUSIP 29 Apr 13 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 700.00 44.445000 -31,111.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 3,000.00 44.585500 -133,756.50 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 6 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 1,500.00 44.585400 -66,878.10 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 15 PURCHASE 3,600.00 44.135000 -158,886.00 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 18 Feb 15 PURCHASE 3,300.00 43.509500 -143,581.35 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 23 Feb 15 PURCHASE 600.00 43.741200 -26,244.72 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 26 Feb 15 PURCHASE 1,200.00 44.584600 -53,501.52 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 11 Mar 15 PURCHASE 100.00 42.620000 -4,262.00 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 01 May 15 SALE -1,000.00 42.298320 42,298.32 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 12 May 15 SALE -1,500.00 43.837987 65,756.98 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 27 May 15 SALE -200.00 43.371700 8,674.34 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Jun 15 PURCHASE 100.00 42.885000 -4,288.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 05 Aug 15 PURCHASE 100.00 37.255000 -3,725.50 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 25 Aug 15 SALE -400.00 32.220800 12,888.32 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 15 Sep 15 PURCHASE 800.00 30.793800 -24,635.04 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 28 Oct 15 SALE -300.00 35.176833 10,553.05 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Nov 15 PURCHASE 1,200.00 34.979100 -41,974.92 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 7 of 7
u Class Action Filed Activity by Event Status
Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Account
Filed
Security ID ID Type Trade Date Trans Type
01 Apr 20
CV
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
Price Net Currency Account Name
2626004 984332106 CUSIP 28 Dec 15 SALE -400.00 33.591875 13,436.75 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Feb 16 SALE -1,200.00 28.398275 34,077.93 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 28 Apr 16 SALE -100.00 36.581700 3,658.17 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 27 Jul 16 SALE -120.00 38.651583 4,638.19 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 04 Jan 17 SALE -1,280.00 39.831523 50,984.35 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 30 Jan 17 SALE -200.00 43.921500 8,784.30 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 24 Feb 17 SALE -300.00 45.541500 13,662.45 USD OAK VEBA - T.ROWE
PRICE
2626004 984332106 CUSIP 14 Mar 17 CLSHOLD1 9,200.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
Although this report has been prepared using information believed to be reliable, it may contain information provided by third parties or derived from third party information, and/or information that may have been obtained from,
categorized or otherwise reported based upon client direction. The Northern Trust Company does not guarantee the accuracy, timeliness or completeness of any such information. The information included in this report is intended
to assist clients with their financial reporting needs, but you must consult with your accountants, auditors and/or legal counsel to ensure your accounting and financial reporting complies with applicable laws, regulations and
accounting guidance. The Northern Trust Company and its affiliates shall have no responsibility for the consequences of investment decisions made in reliance on information contained in this report.
Class Action Services
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 = 01/01/2020
Through date = 03/31/2020
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 21 Apr 20 14:33
Class Action Services
Page 1 of 55
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/
CHONG HONG CONSTRUCT/GLOBAL VIEW TAIWAN 29 Sep 17
01 Dec 17
01 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED www.sfipc.org.twSFIPC OF TAIWAN
INFORMATIONAL ONLY
SEDOL 29 Sep 17
01 Dec 17
CHONG HONG CONSTRU
TWD10
B06P956
SEDOL 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 B1R0CM5
ISIN 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 TW0003040002
ISIN 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
TW0005534002
CINS 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
Y1582T103
SEDOL 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 6317265
SEDOL 29 Sep 17
01 Dec 17
CHONG HONG
CONSTRUCTION CO TWD10
6511788
CINS 29 Sep 17
01 Dec 17
GLOBAL VIEW TWD10 Y2722T102
CUSIP 29 Sep 17
01 Dec 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
DEUTSCHE BANK AG (2009)01 Nov 07
16 Feb 18
10 Jun 20
21 May 20
21 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
NOTIFIED www.deutschebanksecuritiessettlement.comGILARDI
CUSIP 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 1425154A108
SEDOL 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 14B2PNVT3
SEDOL 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 14B295DT9
ISIN 01 Nov 07
16 Feb 18
DEUTSCHE BK CONTINGENT
CAP TR III TR PFD
14 Mar 14US25154A1088
CUSIP 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 1425154D102
ISIN 01 Nov 07
16 Feb 18
DB CAPITAL FUNDING X
7.35% CALLABLE
14 Mar 14US25154D1028
CUSIP 01 Nov 07
16 Feb 18
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
14 Mar 14181994104
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 20
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN CARSON
CONSULTANTS
CUSIP 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
29272U103
SEDOL 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
BYLY8D7
Class Action Services
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Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
ENDOCHOICE HOLDINGS INC.04 Jun 15
27 Sep 16
30 Jun 20
25 May 20
25 May 20
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
NOTIFIED www.endochoicesecuritieslitigation.comKURTZMAN CARSON
CONSULTANTS
SEDOL 04 Jun 15
27 Sep 16
ENDOCHOICE HLDGS INC
COM
BZ0YG20
ISIN 04 Jun 15
27 Sep 16
#REORG/ENDOCHOICE
HLDGS CASH MERGER
US29272U1034
ESTIA HEALTH LIMITED (AUSTRALIA)12 Aug 15
06 Oct 16
27 Apr 20
Security ID Type Security ID
Class Start
Class End
17 Apr 20
Specific Holding
NOTIFIED www.phifinneymcdonald.com/projects/estiaPHI FINNEY MCDONALD
INFORMATIONAL ONLY
CINS 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV Q3627L102
ISIN 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV AU000000EHE2
SEDOL 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV BSSWC52
SEDOL 12 Aug 15
06 Oct 16
ESTIA HEALTH LTD NPV BTC2N85
CUSIP 12 Aug 15
06 Oct 16
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
EVERQUOTE, INC.20 Jun 18
05 Aug 19
25 Jun 20
28 May 20
28 May 20
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
NOTIFIED www.everquotesecuritieslitigation.comGILARDI
CUSIP 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 1930041R108
SEDOL 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19BG88WS9
SEDOL 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19BKP9JC6
ISIN 20 Jun 18
05 Aug 19
EVERQUOTE INC CL A COM 15 Feb 19US30041R1086
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 20
Security ID Type Security ID
Class Start
Class End
31 Mar 20
Specific Holding
NOTIFIED cmorris@woodsfordlf.comWOODSFORD LITIGATION
FUNDING LTDINFORMATIONAL ONLY
CUSIP 03 May 11
31 Dec 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BDCFP20
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BGPK697
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC BG6MV64
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 BX19WN3
Class Action Services
Page 5 of 55
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
GLENCORE PLC (UK) (ENYO LAW)03 May 11
31 Dec 19
31 May 20
Security ID Type Security ID
Class Start
Class End
31 Mar 20
Specific Holding
NOTIFIED cmorris@woodsfordlf.comWOODSFORD LITIGATION
FUNDING LTDINFORMATIONAL ONLY
SEDOL 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
B3NFYS8
SEDOL 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
B4MSCG9
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B4T3BW6
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B55NST3
SEDOL 03 May 11
31 Dec 19
GLENCORE PLC ORD USD0.01 B77NQY6
CUSIP 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
G39420107
ISIN 03 May 11
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
JE00B4T3BW64
ISIN 03 May 11
31 Dec 19
USG394201077
ISIN 03 May 11
31 Dec 19
GLENCORE PLC ADR US37827X1000
CUSIP 03 May 11
31 Dec 19
GLENCORE PLC ADR 37827X100
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
GLENCORE PLC (UK) (QUINN EMANUEL)30 Sep 16
31 Dec 19
01 May 20
Security ID Type Security ID
Class Start
Class End
21 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS
INFORMATIONAL ONLY
CUSIP 30 Sep 16
31 Dec 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 BDCFP20
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC BG6MV64
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 BX19WN3
SEDOL 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
B3NFYS8
SEDOL 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL
PLC, ST HELIER
B4MSCG9
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B4T3BW6
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B55NST3
SEDOL 30 Sep 16
31 Dec 19
GLENCORE PLC ORD USD0.01 B77NQY6
CINS 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
G39420107
ISIN 30 Sep 16
31 Dec 19
GLENCORE INTERNATIONAL-
W/I
JE00B4T3BW64
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.abdatalawserve.comAB DATA
INFORMATIONAL ONLY
SEDOL 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
B4QRG71
SEDOL 03 Mar 15
25 Jan 16
INSYS THERAPEUTICS INC
NEW COM NEW
B4YXNL4
SEDOL 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
B63NPQ8
ISIN 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
US45824V1008
ISIN 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
US45824V2097
CUSIP 03 Mar 15
25 Jan 16
#REORG/INSYS REV STK
SPLIT INSYS
45824V100
CUSIP 03 Mar 15
25 Jan 16
#REORG/INSYS WORTHLESS
24 FEB 2020
45824V209
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS,
LTD.INFORMATIONAL ONLY
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B0H2K53
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B0LWHB4
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PETROFAC LTD(UK)KEYSTONE LAW/INNSWORTH 02 Feb 09
03 Apr 20
01 May 20
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
NOTIFIED www.innsworth.comINNSWORTH ADVISORS,
LTD.INFORMATIONAL ONLY
SEDOL 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 B11B6G6
ISIN 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 GB00B0H2K534
CUSIP 02 Feb 09
03 Apr 20
PETROFAC ORD USD0.02 G7052T101
CUSIP 02 Feb 09
03 Apr 20
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG31
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG49
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG56
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.8%
13033WRZ8
Class Action Services
Page 9 of 55
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSA2
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.7%
13033WSB0
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
13033WSC8
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.3%
BDS 01/12/27 USD
U69430AE3
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.95%
SNR 01/12/2047
U69430AF0
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.25%
SNR 01/08/23 US
U69430AG8
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.65%
SNR 01/08/2028
U69430AH6
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF73
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF81
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WF99
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WG23
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV 3.1%
13033WSD6
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSE4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WSF1
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WU84
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WU92
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW25
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW33
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW41
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033WW58
Class Action Services
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Event Status
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Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3G6
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3H4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3J0
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3K7
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13033W3Z4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH RES R
130535BA4
ISIN 28 Apr 15
15 Nov 18
US694308EK92
ISIN 28 Apr 15
15 Nov 18
US694308EL75
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EM58
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
US694308EN32
Class Action Services
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Event Status
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Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
US694308EP89
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 01 NOV 2022
US694308EQ62
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 MAR 2026
US694308ET02
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EV57
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
US694308EX14
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EY96
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.75% 01 OCT 2023
US694308EZ61
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BG0
CUSIP 28 Apr 15
15 Nov 18
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
13034ASX9
CUSIP 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
13034ASZ4
Class Action Services
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Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534A83
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534A91
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 4.75%
130534B25
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 4.75%
130534B33
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534B66
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534WY2
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH VAR
130534XA3
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XD7
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XE5
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XL9
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534XX3
Class Action Services
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Status
Event Status
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Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
130534ZP8
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN 3.5%
130534ZQ6
CUSIP 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
130534ZR4
CUSIP 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
130534ZS2
CUSIP 28 Apr 15
15 Nov 18
NV IRR DIST CAL YUBA-
BEAR RIV DEV 3.75%
641321BT0
CUSIP 28 Apr 15
15 Nov 18
PG&E CORP COM 69331C108
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 91A
694308DV6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EF0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EG8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EJ2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELECTRIC CO
1ST & REF
694308EK9
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG
694308EL7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EM5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
694308EN3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EP8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 01 NOV 2022
694308EQ6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 MAR 2026
694308ET0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EV5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
694308EX1
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308EY9
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GV30
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.625% 30 NOV 2017
US694308GL57
Class Action Services
Page 16 of 55
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Status
Event Status
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Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GM31
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 15 OCT 2018
US694308GN14
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.25% 01
US694308GQ45
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308GS01
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308GT83
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308GW13
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308GY78
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PAC GAS & ELEC
CO SR NT 4.45%
US694308GZ44
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HA83
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
2.45% 15 AUG 2022
US694308HB66
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308HC40
Class Action Services
Page 17 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HD23
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HE06
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG DTD 06 JAN
US694308FB84
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
US694308FF98
ISIN 28 Apr 15
15 Nov 18
US694308FG71
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
US694308FJ11
ISIN 28 Apr 15
15 Nov 18
US694308FM40
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG NATL-IBC D
US694308FP70
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 1993
US694308FQ53
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5%
US6943084045
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD 5%
US6943085034
Class Action Services
Page 18 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD SER A
US6943086024
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.80%
US6943087014
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.50%
US6943088004
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.36%
US6943088830
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125AM89
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125AN62
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125BC98
ISIN 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
US834125BG03
CINS 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC FR SNR
11/18 USD10000
U69430AD5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 6%
694308206
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5.50%
694308305
Class Action Services
Page 19 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5%
694308404
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.95%
694308HX8
CUSIP 28 Apr 15
15 Nov 18
DEFAULTEDPACIFIC GAS &
ELEC CO 0.0%
694308HY6
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO SR NT 14
694308HZ3
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308JA6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD 5%
694308503
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
RED PFD SER A
694308602
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.80%
694308701
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.50%
694308800
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 4.36%
694308883
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125AM8
Class Action Services
Page 20 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125AN6
CUSIP 28 Apr 15
15 Nov 18
SOLANO CAL IRR DIST
HYDROELECTRIC 5.29%
834125AY2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.75% 01 OCT 2023
694308EZ6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG DTD 06 JAN
694308FB8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
7.25% 01 AUG 2026
694308FF9
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG-FSA-
694308FG7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 92D
694308FJ1
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG-92C
694308FM4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG NATL-IBC D
694308FP7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 1993
694308FQ5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
694308FR3
Class Action Services
Page 21 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG & REF 92D
694308FW2
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG NATL
694308FX0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 93A
694308FY8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG AMBA
694308FZ5
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.05%
694308GE1
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.05% 01 MAR 2034
694308GH4
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308GJ0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.8% 01 MAR 2037
694308GK7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.625% 30 NOV 2017
694308GL5
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GM3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
8.25% 15 OCT 2018
694308GN1
Class Action Services
Page 22 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.25% 01
694308GQ4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308GS0
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308GT8
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GV3
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308GW1
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308GY7
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PAC GAS & ELEC
CO SR NT 4.45%
694308GZ4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HA8
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
2.45% 15 AUG 2022
694308HB6
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
694308HC4
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HD2
Class Action Services
Page 23 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HE0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HF7
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELECTRIC CO 0.0%
694308HG5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HH3
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
.42335%
694308HJ9
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
3.4% 15 AUG 2024
694308HK6
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
4.3% 15 MAR 2045
694308HL4
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HM2
CUSIP 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
694308HN0
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
694308HP5
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG
694308HQ3
Class Action Services
Page 24 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HR1
CUSIP 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
694308HS9
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
694308HT7
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
694308HU4
CUSIP 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.3%
694308HV2
CUSIP 28 Apr 15
15 Nov 18
INDEFAULTED PACIFIC GAS &
ELEC CO 3.3%
694308HW0
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BC9
CUSIP 28 Apr 15
15 Nov 18
SOLANO CALIF IRR DIST
HYDROELECTRIC REV
834125BF2
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC FR SNR
11/18 USD10000
USU69430AD52
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.3%
BDS 01/12/27 USD
USU69430AE36
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 3.95%
SNR 01/12/2047
USU69430AF01
Class Action Services
Page 25 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.25%
SNR 01/08/23 US
USU69430AG83
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC 4.65%
SNR 01/08/2028
USU69430AH66
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13033W3H41
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13033W3J07
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA
INFRASTRUCTURE &
ECONOMIC DEV
US13034ASX99
ISIN 28 Apr 15
15 Nov 18
CA INFRASTRUCTURE &
ECON DEV BK REV
US13034ASZ48
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH VAR
US130534XA35
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XD73
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XL99
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTN CTL
FING AUTH POLLUTN
US130534XX38
ISIN 28 Apr 15
15 Nov 18
CA POLLUTN CTL FING AUTH
POLLUTN FLTG RT
US130534ZR42
Class Action Services
Page 26 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
CALIFORNIA POLLUTION CTL
FING AUTH RES R
US130535BA48
ISIN 28 Apr 15
15 Nov 18
PG&E CORP COM US69331C1080
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 91A
US694308DV66
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EF08
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EG80
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG SER
US694308EJ20
ISIN 28 Apr 15
15 Nov 18
US694308FR37
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
MTG & REF 92D
US694308FW22
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG NATL
US694308FX05
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG 93A
US694308FY87
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
& REF MTG AMBA
US694308FZ52
Class Action Services
Page 27 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 6.05%
US694308GE15
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
6.05% 01 MAR 2034
US694308GH46
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308GJ02
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
5.8% 01 MAR 2037
US694308GK74
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HF70
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELECTRIC CO 0.0%
US694308HG53
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HH37
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
.42335%
US694308HJ92
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
3.4% 15 AUG 2024
US694308HK65
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
4.3% 15 MAR 2045
US694308HL49
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HM22
Class Action Services
Page 28 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
IN DEFAULT PACIFIC GAS &
ELEC CO 0.0% 31
US694308HN05
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO
INDEFAULTED 0.0%
US694308HP52
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG
US694308HQ36
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HR19
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0%
US694308HS91
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
US694308HT74
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT FLTG RATE
US694308HU48
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.3%
US694308HV21
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO SR NT 14
US694308HZ35
ISIN 28 Apr 15
15 Nov 18
DEFAULTED PACIFIC GAS &
ELEC CO 0.0% 31
US694308JA65
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 6%
US6943082064
Class Action Services
Page 29 of 55
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Security ID Type Security ID
Class Start
Class End
06 Apr 20
Specific Holding
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
INFORMATIONAL ONLY
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO 1ST
PFD 5.50%
US6943083054
ISIN 28 Apr 15
15 Nov 18
INDEFAULTED PACIFIC GAS &
ELEC CO 3.3%
US694308HW04
ISIN 28 Apr 15
15 Nov 18
PACIFIC GAS & ELEC CO SR
NT 144A 3.95%
US694308HX86
ISIN 28 Apr 15
15 Nov 18
DEFAULTEDPACIFIC GAS &
ELEC CO 0.0%
US694308HY69
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 20
Security ID Type Security ID
Class Start
Class End
14 Apr 20
Specific Holding
NOTIFIED www.silverwheatonsettlement.comSTRATEGIC CLAIMS
SERVICES
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
BJ053P3
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
BSJC637
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
B05DVK0
SEDOL 29 Mar 11
06 Jul 15
SILVER WHEATON CORP
COM
B058ZX6
CUSIP 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
828336107
Class Action Services
Page 30 of 55
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/
SILVER WHEATON CORP.29 Mar 11
06 Jul 15
13 Jun 20
13 Jun 20
20 Jul 20
Security ID Type Security ID
Class Start
Class End
14 Apr 20
Specific Holding
NOTIFIED www.silverwheatonsettlement.comSTRATEGIC CLAIMS
SERVICES
SEDOL 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
B059001
ISIN 29 Mar 11
06 Jul 15
#REORG/SILVER WHEATON
NAME CHANGE WHEATO
CA8283361076
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 20
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC CLAIMS
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM PHARMACEU
USD0.001
BL4S4J3
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
B1BPWB5
ISIN 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM US6406561042
ISIN 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM
NEW
US6406563022
ISIN 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
US84763A1088
ISIN 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
144A
US84763A2078
SEDOL 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM 2646316
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Event Status
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Class End Claims Admin Name
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Exclusion
Deadline
Objection/
SPECTRUM PHARMACEUTICALS 2016 (D. NEV)30 Jan 13
14 Dec 16
08 Jun 20
01 Jul 20
01 Jul 20
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
NOTIFIED strategicclaims.net/spectrum-pharmaceutiSTRATEGIC CLAIMS
SEDOL 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
2982924
CUSIP 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM 640656104
CUSIP 30 Jan 13
14 Dec 16
NEOTHERAPEUTICS INC COM
NEW
640656302
CUSIP 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
144A
84763A207
CUSIP 30 Jan 13
14 Dec 16
SPECTRUM
PHARMACEUTICALS INC COM
84763A108
TREASURY WINE EST (AUS) 2020 (M. BLACKB)14 Feb 19
28 Jan 20
01 Jun 20
Security ID Type Security ID
Class Start
Class End
17 Apr 20
Specific Holding
NOTIFIED www.mauriceblackburn.com.au/class-actionMAURICE BLACKBURN
INFORMATIONAL ONLY
ISIN 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
AU000000TWE9
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV BHL1YP3
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV B3TRC28
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTA NPV B4W54B9
Class Action Services
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Class End Claims Admin Name
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Filing
Deadline
Exclusion
Deadline
Objection/
TREASURY WINE EST (AUS) 2020 (M. BLACKB)14 Feb 19
28 Jan 20
01 Jun 20
Security ID Type Security ID
Class Start
Class End
17 Apr 20
Specific Holding
NOTIFIED www.mauriceblackburn.com.au/class-actionMAURICE BLACKBURN
INFORMATIONAL ONLY
SEDOL 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
B61JC67
CINS 14 Feb 19
28 Jan 20
TREASURY WINE ESTATES
LTD NPV
Q9194S107
CUSIP 14 Feb 19
28 Jan 20
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
WESTPAC BANKING CORP(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD
INFORMATIONAL ONLY
ISIN 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
AU000000WBC1
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
ADR(EACH REP 1 ORD NPV)
BD6TKB2
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP NPV BHZKQV6
SEDOL 16 Dec 13
19 Nov 19
#REORG/WESTPAC BKG
CORPORATION MANDATORY
B01D654
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
B043NB6
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
B65BWQ9
Class Action Services
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Class End Claims Admin Name
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Filing
Deadline
Exclusion
Deadline
Objection/
WESTPAC BANKING CORP(AUS)PHI FINNEY MCD 16 Dec 13
19 Nov 19
17 Apr 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
NOTIFIED classactions@phifinneymcdonald.comPHI FINNEY MCDONALD
INFORMATIONAL ONLY
CUSIP 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
Q97417101
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
2956736
CUSIP 16 Dec 13
19 Nov 19
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING CORP
AUD1
5412183
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6076146
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6956527
SEDOL 16 Dec 13
19 Nov 19
WESTPAC BANKING
CORPORATION NPV
6957393
CUSIP 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
961214301
ISIN 16 Dec 13
19 Nov 19
WESTPAC BKG CORP
SPONSORED ADR
US9612143019
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
Class Action Services
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As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS 5.375%
15 Mar 16C96729AA3
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 16US91911XAM65
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 16US91911XAQ79
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 16US91911XAS36
ISIN 03 Jan 13
02 Sep 16
#REORG/VALEANT STOCK
MERGER VALEANT
15 Mar 16US91911X1046
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 7.5%
15 Mar 16US92912EAA10
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% 15 AUG
15 Mar 16US92912EAC75
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL 7%
SNR NTS
15 Mar 16U9098VAE2
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US91911KAB89
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAC62
Class Action Services
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Event Status
As Of
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Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAD46
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAE29
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAF93
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAG76
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 16US91911KAH59
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US91911K1025
CUSIP 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16071734107
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 1691829KAA1
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
USD SR NT
15 Mar 1691831AAA9
CUSIP 03 Jan 13
02 Sep 16
VRX ESCROW CORP 5.875%
NTS 15/05/2023
15 Mar 1691831AAB7
Class Action Services
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Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
144A 6.125%
15 Mar 1691831AAC5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAA0
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAB8
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAC6
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAD4
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 1691911KAE2
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAF9
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAG7
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA USD
15 Mar 1691911KAH5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 1691911K102
Class Action Services
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Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 1691911XAM6
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 1691911XAQ7
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 1691911XAS3
CUSIP 03 Jan 13
02 Sep 16
TRW INC COM STK CALL
OPTION
15 Mar 1691911X0L9
CUSIP 03 Jan 13
02 Sep 16
#REORG/VALEANT STOCK
MERGER VALEANT
15 Mar 1691911X104
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 7.5%
15 Mar 1692912EAA1
SEDOL 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% DUE 15
15 Mar 16BBVJDP8
SEDOL 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16BBVJDR0
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH
COMPANIES INC 7.5%
15 Mar 16BC9S9X4
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BFFVVC1
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BFFY852
Class Action Services
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Class End Claims Admin Name
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Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JBN6
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JBP8
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5JB69
SEDOL 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16BF5J6H5
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16BGLVXJ3
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BJ056T8
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BR3HZZ6
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16BSJC682
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP SR NT
144A 6.75% 15 AUG
15 Mar 1692912EAC7
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16BVFJNT8
Class Action Services
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Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
SEDOL 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
NT 144A 5.875% DU
15 Mar 16BWD1Y23
SEDOL 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
NT 144A 5.375% DU
15 Mar 16BWD1ZZ3
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
6.125% SNR
15 Mar 16BWD21S1
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16B3XSX46
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
15 Mar 16B4L3MP4
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16B4M1HS5
SEDOL 03 Jan 13
02 Sep 16
#REORG/VALEANT NAME
CHANGE & CUSIP CHANG
15 Mar 16B41NYV4
SEDOL 03 Mar 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL SR
NT 144A
15 Mar 16B58Q929
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
GTD SR NT
15 Mar 16B60L758
SEDOL 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 16B8C2861
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Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
COM
15 Mar 16CA0717341071
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA COM
15 Mar 16CA91911K1021
CINS 03 Jan 13
02 Sep 16
15 Mar 16C94143AB7
CINS 03 Jan 13
02 Sep 16
15 Mar 16C94143AC5
CUSIP 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS
15 Mar 16C94143AD3
CUSIP 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
5.5% 01 MAR 2023
15 Mar 16C94143AE1
CUSIP 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16C96715AA2
ISIN 03 Jan 13
02 Sep 16
15 Mar 16USC94143AB74
ISIN 03 Jan 13
02 Sep 16
15 Mar 16USC94143AC57
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARAMCEUTICALS
15 Mar 16USC94143AD31
ISIN 03 Jan 13
02 Sep 16
BAUSCH HEALTH COS INC
5.5% 01 MAR 2023
15 Mar 16USC94143AE14
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Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
ISIN 03 Jan 13
02 Sep 16
VPII ESCROW CORP 7.5% 15
JUL 2021
15 Mar 16USC96715AA29
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
5.375%
15 Mar 16USC96729AA31
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL 7%
SNR NTS
15 Mar 16USU9098VAE21
ISIN 03 Jan 13
02 Sep 16
15 Mar 16US0717341079
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS BNDS
6.375% 15 O
15 Mar 16US91829KAA16
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL
USD SR NT
15 Mar 16US91831AAA97
ISIN 03 Jan 13
02 Sep 16
VRX ESCROW CORP 5.875%
NTS 15/05/2023
15 Mar 16US91831AAB70
ISIN 03 Jan 13
02 Sep 16
VRX ESCROW CORP USD SR
144A 6.125%
15 Mar 16US91831AAC53
ISIN 03 Jan 13
02 Sep 16
VALEANT
PHARMACEUTICALS INTL INC
CDA SR
15 Mar 16US91911KAA07
SEDOL 03 Jan 13
02 Sep 16
#REORG BIOVAIL CORP INTL
NEW COM N/C TO
15 Mar 162098199
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Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
VALEANT PHARMACEUTICALS INTL INC. (2015)03 Jan 13
02 Sep 16
06 May 20
06 May 20
06 May 20
Security ID Type Security ID
Class Start
Class End
10 Apr 20
Specific Holding
FILED www.valeantsecuritiessettlement.comGILARDI
CUSIP 03 Jan 13
02 Sep 16
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
15 Mar 16181994104
BARCLAYS PLC (2014)01 Aug 11
23 Sep 14
07 Jun 19
10 May 19
10 May 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.barclayslxsecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 06738E204
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR B3Y6QW8
ISIN 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR US06738E2046
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2077756
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2077767
SEDOL 01 Aug 11
23 Sep 14
BARCLAYS PLC ADR 2193458
Class Action Services
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Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING www.cytrxsecuritiessettlement.comAB DATA
CUSIP 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP
EXCHANGED FOR CYTRX
232828103
ISIN 11 Sep 14
07 Oct 16
US2328281033
SEDOL 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
2248875
CUSIP 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
232828301
ISIN 11 Sep 14
07 Oct 16
#REORG/CYTRX CORP COM
REV STK SPLIT
US2328283013
CUSIP 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
232828509
ISIN 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
US2328285091
SEDOL 11 Sep 14
07 Oct 16
CYTRX CORP COM NEW B018057
SEDOL 11 Sep 14
07 Oct 16
#REORG/ CYTRX REVERSE
STOCK SPLIT CYTRX
B88VYK8
SEDOL 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001 B89FHH7
ISIN 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001
NEW
US2328286081
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Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
CYTRX CORPORATION (2016)11 Sep 14
07 Oct 16
16 Nov 18
27 Aug 18
27 Aug 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING www.cytrxsecuritiessettlement.comAB DATA
CUSIP 11 Sep 14
07 Oct 16
CYTRX CORP COM PAR $.001
NEW
232828608
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 18
Security ID Type Security ID
Class Start
Class End
03 Apr 20
Specific Holding
DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
CUSIP 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 1436191U106
CUSIP 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 1436191UAB2
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 14BH58W67
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14B4Y4QP2
SEDOL 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14B6TB704
ISIN 04 Nov 13
18 May 15
#REORG/GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14US36191U1060
CUSIP 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 143623E0209
SEDOL 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 14B1YXK12
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
GT ADVANCED TECHNOLOGIES INC (UNDER&IND)04 Nov 13
18 May 15
12 Jul 18
07 Jun 18
07 Jun 18
Security ID Type Security ID
Class Start
Class End
03 Apr 20
Specific Holding
DISBURSING www.gtatsecuritieslitigation.comGARDEN CITY
ISIN 04 Nov 13
18 May 15
#REORG/GT SOLAR NAME
CHANGE GT ADVANCED
09 Oct 14US3623E02092
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14BRTM931
SEDOL 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC COM
09 Oct 14BSJC7P6
ISIN 04 Nov 13
18 May 15
GT ADVANCED
TECHNOLOGIES INC 3.0%
09 Oct 14US36191UAB26
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 18
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
CUSIP 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 1592205F106
ISIN 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 15US92205F1066
SEDOL 28 Aug 15
22 Aug 18
VANGUARD NAT RES LLC
COM UNIT REPSTG LTD
05 Oct 15B29LK85
SEDOL 28 Aug 15
22 Aug 18
#REORG/VANGUARD PLAN
OF REORGANISATION V
05 Oct 15B27Y8G0
ISIN 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 15US50214A1043
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
LRR ENERGY L.P.28 Aug 15
22 Aug 18
26 Nov 18 09 Nov 18
Security ID Type Security ID
Class Start
Class End
16 Apr 20
Specific Holding
DISBURSING www.lrrenergysecuritieslitigation.comGARDEN CITY
SEDOL 28 Aug 15
22 Aug 18
LRR ENERGY LP COM 05 Oct 15B76KXV4
SEDOL 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 15B6TXNW4
CUSIP 28 Aug 15
22 Aug 18
#REORG/LRR ENERGY
STOCK MERGER VANGUARD
05 Oct 1550214A104
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING medtronicsecuritiessettlement.comGILARDI
SEDOL 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 112575465
CUSIP 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 11585055106
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 114552187
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11B043LW3
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11BHZLM44
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
MEDTRONIC, INC (2013)07 Sep 10
26 Sep 11
02 Jan 19
19 Nov 18
19 Nov 18
Security ID Type Security ID
Class Start
Class End
20 Apr 20
Specific Holding
DISBURSING medtronicsecuritiessettlement.comGILARDI
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC INC COM 28 Jun 11BSJC8F3
SEDOL 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11BTN1Y11
ISIN 07 Sep 10
26 Sep 11
#REORG/MEDTRONIC
MANDATORY EXCH
MEDTRONI
28 Jun 11US5850551061
ISIN 07 Sep 10
26 Sep 11
28 Jun 11USG5960L1038
ISIN 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11IE00BTN1Y115
CUSIP 07 Sep 10
26 Sep 11
MEDTRONIC PLC COMMON
STOCK
28 Jun 11G5960L103
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.rhsecuritieslitigation.com/AB DATA
CUSIP 25 Mar 15
06 Sep 16
RH COM 74967X103
SEDOL 25 Mar 15
06 Sep 16
RESTORATION HARDWARE
HLDGS INC COM
BGLNNJ9
SEDOL 25 Mar 15
06 Sep 16
RH COM BYNZXP5
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
RH (F/K/A REST. HARDWARE HLDNG) 2017 25 Mar 15
06 Sep 16
08 Oct 19
01 Oct 19
01 Oct 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
DISBURSING www.rhsecuritieslitigation.com/AB DATA
SEDOL 25 Mar 15
06 Sep 16
RH COM BYXL621
SEDOL 25 Mar 15
06 Sep 16
RH COM BYXR425
SEDOL 25 Mar 15
06 Sep 16
RESTORATION HARDWARE
HLDGS INC COM
B8HWSV1
SEDOL 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
B8V9GG9
ISIN 25 Mar 15
06 Sep 16
RH COM US74967X1037
ISIN 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
US7612831005
CUSIP 25 Mar 15
06 Sep 16
#REORG/RESTORATION
HARDWARE NAME CHANGE
761283100
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320S6
SEDOL 29 Apr 13
14 Mar 17
BDCCQ40
Class Action Services
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
ISIN 29 Apr 13
14 Mar 17
YAHOO INC COM US9843321061
SEDOL 29 Apr 13
14 Mar 17
#REORG/ YAHOO INC NAME
CHANGE ALTABA INC
2986539
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM 984332106
CUSIP 29 Apr 13
14 Mar 17
YAHOO! INC COM STK CALL
OPTION
9843320A5
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $15.00 PER
9843320B3
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $30.00 PER
9843320C1
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK CALL
OPTION APR3 25
9843320D9
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $27.50 PER
9843320E7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $30.00 PER
9843320F4
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $25.00 PER
9843320G2
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $25.00 PER
9843320H0
Class Action Services
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
YAHOO! INC. (2017)29 Apr 13
14 Mar 17
01 Sep 18
16 Aug 18
16 Aug 18
Security ID Type Security ID
Class Start
Class End
01 Apr 20
Specific Holding
DISBURSING www.yahoosecuritieslitigation.comJND LEGAL
ADMINISTRATION
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK CALL
OPTION
9843320I8
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $20.00 PER
9843320J6
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $35.00 PER S
9843320K3
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC CALL OPTION
W/STK $16.00 PER
9843320L1
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320M9
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC PUT OPTION
W/STK $25.00 PER
9843320N7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC PUT OPTION
W/STK $20.00 PER
9843320P2
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320Q0
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM STK PUT
OPTION
9843320W7
CUSIP 29 Apr 13
14 Mar 17
YAHOO INC COM 144A 984332205
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
SEDOL 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
B4KS9Q0
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
BCJSQF5
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC COM
BG3FB99
SEDOL 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
BHWRBQ0
SEDOL 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
BH5MJ80
SEDOL 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 BYVVTJ1
SEDOL 28 Feb 13
29 Oct 14
VEREIT INC COM BYZLN40
ISIN 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
US02917TAA25
ISIN 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
US02917TAB08
ISIN 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
US02917T1043
ISIN 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
US02917T4013
Class Action Services
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
AMERICAN REALTY CAP PROPERTIES INC(2014)28 Feb 13
29 Oct 14 28 Oct 19
Security ID Type Security ID
Class Start
Class End
09 Apr 20
Specific Holding
CLOSED www.arcpsecutitieslitigation.comGILARDI
INFORMATIONAL ONLY
ISIN 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 US92339V1008
ISIN 28 Feb 13
29 Oct 14
VEREIT INC PFD SER F US92339V2097
CUSIP 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.0%
02917TAA2
CUSIP 28 Feb 13
29 Oct 14
AMERICAN RLTY CAP PPTYS
INC 3.75%
02917TAB0
CUSIP 28 Feb 13
29 Oct 14
#REORG AMERICAN NAME
CHANGE VEREIT INC 0
02917T104
CUSIP 28 Feb 13
29 Oct 14
#REORG/AMERICAN NAME
CHANGE VEREIT 1C15A
02917T401
CUSIP 28 Feb 13
29 Oct 14
VEREIT INC PFD SER F 92339V209
CUSIP 28 Feb 13
29 Oct 14
VEREIT INC COM USD0.001 92339V100
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
CLOSED www.sfipc.org.twSFIPC (TAIWAN)
SEDOL 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERPRISE CO
TWD10
B011197
Class Action Services
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Class Action Name
Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
CLOSED www.sfipc.org.twSFIPC (TAIWAN)
SEDOL 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERP ORD
SHS TWD10
B1RC2Y3
ISIN 08 Mar 16
20 Jan 17
FEEI CHERNG ENTERPRISE CO
TWD10
TW0003313003
ISIN 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
TW0005201008
ISIN 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
TW0005386007
ISIN 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY TW0006241003
ISIN 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
TW0009906008
CINS 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY Y0121D108
CINS 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
Y1627M105
CINS 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
Y1754R109
CINS 08 Mar 16
20 Jan 17
Y2481Q117
SEDOL 08 Mar 16
20 Jan 17
ALBATRON TECHNOLOGY
CO LTD TWD10
6155517
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
HSIN BA BA CORP...(TAIWAN) 2020 08 Mar 16
20 Jan 17
01 May 20
Security ID Type Security ID
Class Start
Class End
15 Apr 20
Specific Holding
CLOSED www.sfipc.org.twSFIPC (TAIWAN)
SEDOL 08 Mar 16
20 Jan 17
HSIN BA BA CORPORATION
TWD10
6224547
SEDOL 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
6293279
SEDOL 08 Mar 16
20 Jan 17
AMIGO TECHNOLOGY 6431693
CINS 08 Mar 16
20 Jan 17
K WAY INFORMATION
TWD10
Y4519D100
CUSIP 08 Mar 16
20 Jan 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 18
Security ID Type Security ID
Class Start
Class End
08 Apr 20
Specific Holding
CLOSED petrofac@innsworth.comINNSWORTH ADVISORS
LTD.INFORMATIONAL ONLY
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B0LWHB4
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B11B6G6
CUSIP 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 G7052T101
ISIN 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 GB00B0H2K534
Class Action Services
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Event
Status
Event Status
As Of
Class Start
Class End Claims Admin Name
Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PETROFAC LTD. (UK)01 Jan 13
31 May 17
07 Sep 18
Security ID Type Security ID
Class Start
Class End
08 Apr 20
Specific Holding
CLOSED petrofac@innsworth.comINNSWORTH ADVISORS
LTD.INFORMATIONAL ONLY
SEDOL 01 Jan 13
31 May 17
PETROFAC ORD USD0.02 B0H2K53
CUSIP 01 Jan 13
31 May 17
CLASS ACTIONS
(DELISTED/VAR CUSIPS)
181994104
SEAWORLD ENTERTAINMENT, INC.29 Aug 13
12 Aug 14 09 Apr 19
Security ID Type Security ID
Class Start
Class End
13 Apr 20
Specific Holding
CLOSED www.seaworldsecuritieslitigation.comEPIQ CLASS ACTION &
CLAIMS SOLUTIONS, ININFORMATIONAL ONLY
SEDOL 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM B6T8NY1
SEDOL 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM B84KWJ4
ISIN 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM US81282V1008
CUSIP 29 Aug 13
12 Aug 14
SEAWORLD ENTMT INC COM 81282V100
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 3
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
INSYS THERAPEUTICS INC. (2016)NOTIFIED 09 Apr 20 03 Mar 15
25 Jan 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
30 Apr 20
AB Data www.abdatalawserve.com
INFORMATIONAL ONLY
Amount
2625874 09 Apr 20
INFORMATIONAL ONLY
OAK ERS - LOOMIS SAYLES SM
2626012 09 Apr 20
INFORMATIONAL ONLY
OAK VEBA - LOOMIS SAYLES SM
PG&E CORP. BANKRUPTCY NOTIFIED 06 Apr 20 28 Apr 15
15 Nov 18
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
16 Apr 20 Prime Clerk https://restructuring.primeclerk.com/
pgeINFORMATIONAL ONLY
Amount
2625873 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - T.ROWE PRICE
2625902 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - WEDGE
2625905 06 Apr 20
INFORMATIONAL ONLY
OAK ERS - CS MCKEE
2626004 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - T.ROWE PRICE
2626020 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - WEDGE
2626047 06 Apr 20
INFORMATIONAL ONLY
OAK VEBA - CS MCKEE
Class Action Services
Page 2 of 3
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
PG&E CORP. BANKRUPTCY NOTIFIED 06 Apr 20 28 Apr 15
15 Nov 18
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
16 Apr 20 Prime Clerk https://restructuring.primeclerk.com/
pgeINFORMATIONAL ONLY
Amount
2648039 06 Apr 20
INFORMATIONAL ONLY
OAK SMB - CS MCKEE
VALEANT PHARMACEUTICALS INTL INC. (2015)FILED 10 Apr 20 03 Jan 13
02 Sep 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
06 May 20 06 May 20
06 May 20
Gilardi www.ValeantSecuritiesSettlement.c
om
Amount
OAKC03 10 Apr 20
FILED
OAK ERS-LOOMIS SAYLES
OAKL03 10 Apr 20
FILED
OAK VEBA-LOOMIS SAYLES
RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBURSING 13 Apr 20 25 Mar 15
06 Sep 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
08 Oct 19 01 Oct 19
01 Oct 19
AB Data www.rhsecuritieslitigation.com/
Amount
2625874 13 Apr 20 95.80 CASH
1
13 Apr 20
PAID
2625874 OAK ERS - LOOMIS
SAYLES SM
OAK ERS - LOOMIS SAYLES SM
USD
2626012 13 Apr 20 150.14 CASH
1
13 Apr 20
PAID
2626012 OAK VEBA - LOOMIS
SAYLES SM
OAK VEBA - LOOMIS SAYLES SM
USD
Class Action Services
Page 3 of 3
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
YAHOO! INC. (2017)DISBURSING 01 Apr 20 29 Apr 13
14 Mar 17
Account
Notified/Filed
Claim Status
as of Date/
Claim Status Account Paid Account Paid Name
Distribution/
Currency Type
Date
Distributed
Account
Notified/Filed Name
01 Sep 18 16 Aug 18
16 Aug 18
JND Legal Administration www.yahoosecuritieslitigation.com
Amount
2625873 01 Apr 20 459.57 CASH
1
01 Apr 20
PAID
2625873 OAK ERS - T.ROWE
PRICE
OAK ERS - T.ROWE PRICE
USD
2626004 01 Apr 20 710.83 CASH
1
01 Apr 20
PAID
2626004 OAK VEBA - T.ROWE
PRICE
OAK VEBA - T.ROWE PRICE
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.
Class Action Services
u Class Action Proceeds by Class Page 1 of 1
Message: No information found for request.
User Selection:
From date = 01/01/2020
Through date = 03/31/2020
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 21 Apr 20 14:33
Class Action Services
u Class Action Proceeds by Account Page 1 of 1
Message: No information found for request.
User Selection:
From date = 01/01/2020
Through date = 03/31/2020
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 21 Apr 20 14:33
Class Action Services
Page 1 of 32
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/
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
09 Apr 20
CV
NOTIFIED www.abdatalawserve.comAB DATA
Price Net Currency Account Name
2625874 45824V209 CUSIP 03 Mar 15 OPNHOLD 3,118.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 25 Mar 15 SALE -661.00 56.105946 37,086.03 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 26 Mar 15 PURCHASE 203.00 55.684926 -11,304.04 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 04 May 15 PURCHASE 227.00 54.770088 -12,432.81 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 11 Jun 15 STKSPLIT 2,887.00 0.000000 0.00 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 27 Jul 15 SALE -1,114.00 40.707343 45,347.98 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 27 Jul 15 SALE -395.00 41.489215 16,388.24 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 19 Aug 15 SALE -1,139.00 34.084864 38,822.66 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 08 Oct 15 SALE -960.00 25.001427 24,001.37 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 08 Oct 15 SALE -317.00 24.636309 7,809.71 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 09 Oct 15 SALE -762.00 25.252323 19,242.27 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 09 Oct 15 SALE -1,087.00 25.431435 27,643.97 USD OAK ERS - LOOMIS
SAYLES SM
2625874 45824V209 CUSIP 25 Jan 16 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 03 Mar 15 OPNHOLD 3,639.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 26 Mar 15 PURCHASE 305.00 55.684918 -16,983.90 USD OAK VEBA - LOOMIS
SAYLES SM
Class Action Services
Page 2 of 32
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/
INSYS THERAPEUTICS INC. (2016)03 Mar 15
25 Jan 16 30 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
09 Apr 20
CV
NOTIFIED www.abdatalawserve.comAB DATA
Price Net Currency Account Name
2626012 45824V209 CUSIP 04 May 15 PURCHASE 336.00 54.770089 -18,402.75 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 11 Jun 15 STKSPLIT 4,280.00 0.000000 0.00 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 27 Jul 15 SALE -585.00 41.489231 24,271.20 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 27 Jul 15 SALE -1,652.00 40.707349 67,248.54 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 19 Aug 15 SALE -1,688.00 34.084870 57,535.26 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 08 Oct 15 SALE -1,423.00 25.001434 35,577.04 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 08 Oct 15 SALE -471.00 24.636327 11,603.71 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 09 Oct 15 SALE -1,130.00 25.252327 28,535.13 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 09 Oct 15 SALE -1,611.00 25.431428 40,970.03 USD OAK VEBA - LOOMIS
SAYLES SM
2626012 45824V209 CUSIP 25 Jan 16 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - LOOMIS
SAYLES SM
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 28 Apr 15 OPNHOLD 6,700.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 15 May 15 PURCHASE 700.00 51.894300 -36,326.01 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 3 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 25 Jun 15 PURCHASE 200.00 49.696800 -9,939.36 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 25 Jun 15 PURCHASE 200.00 49.730700 -9,946.14 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 28 Jul 15 PURCHASE 100.00 52.062200 -5,206.22 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 24 Aug 15 PURCHASE 200.00 50.498900 -10,099.78 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 25 Aug 15 PURCHASE 100.00 49.204000 -4,920.40 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 Sep 15 PURCHASE 400.00 47.853000 -19,141.20 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 03 Sep 15 PURCHASE 300.00 48.313900 -14,494.17 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 04 Sep 15 PURCHASE 100.00 47.704500 -4,770.45 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 08 Sep 15 PURCHASE 300.00 48.281200 -14,484.36 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Sep 15 PURCHASE 500.00 49.639700 -24,819.85 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 28 Oct 15 SALE -700.00 52.941514 37,059.06 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 03 Nov 15 PURCHASE 700.00 53.303300 -37,312.31 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 06 Nov 15 PURCHASE 100.00 51.673000 -5,167.30 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 15 PURCHASE 100.00 52.452100 -5,245.21 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 10 Nov 15 PURCHASE 100.00 53.115300 -5,311.53 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 03 Dec 15 PURCHASE 100.00 51.891300 -5,189.13 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 03 Dec 15 PURCHASE 100.00 51.988000 -5,198.80 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 04 Dec 15 PURCHASE 100.00 52.871300 -5,287.13 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 4 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 04 Dec 15 PURCHASE 100.00 52.925000 -5,292.50 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 10 Dec 15 PURCHASE 200.00 51.662600 -10,332.52 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 11 Dec 15 PURCHASE 100.00 51.872100 -5,187.21 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 06 Jan 16 PURCHASE 400.00 52.910400 -21,164.16 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 07 Apr 16 PURCHASE 125.00 58.738720 -7,342.34 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 08 Apr 16 PURCHASE 125.00 59.193680 -7,399.21 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 08 Apr 16 PURCHASE 175.00 59.263429 -10,371.10 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 08 Apr 16 PURCHASE 150.00 59.328533 -8,899.28 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 10 Jun 16 SALE -320.00 62.991125 20,157.16 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 10 Jun 16 SALE -2.00 62.985000 125.97 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 07 Nov 16 PURCHASE 100.00 60.304600 -6,030.46 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 30 Jan 17 SALE -500.00 60.571160 30,285.58 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 24 Feb 17 SALE -600.00 66.321050 39,792.63 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 06 Mar 17 SALE -898.00 65.833864 59,118.81 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 19 May 17 SALE -783.00 65.409374 51,215.54 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 19 May 17 SALE -6.00 65.490000 392.94 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 22 May 17 SALE -278.00 65.510072 18,211.80 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 26 May 17 SALE -75.00 67.544133 5,065.81 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 5 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 26 May 17 SALE -400.00 67.361025 26,944.41 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 30 May 17 SALE -21.00 67.490476 1,417.30 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 31 May 17 SALE -89.00 68.159213 6,066.17 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 31 May 17 SALE -29.00 68.424828 1,984.32 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 01 Jun 17 SALE -30.00 68.707333 2,061.22 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 Jun 17 SALE -44.00 68.773864 3,026.05 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 Jun 17 SALE -602.00 68.889086 41,471.23 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 05 Jun 17 SALE -44.00 68.811591 3,027.71 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 06 Jun 17 SALE -29.00 68.836897 1,996.27 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 07 Jun 17 SALE -30.00 69.008333 2,070.25 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 08 Jun 17 SALE -89.00 68.017303 6,053.54 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Jun 17 SALE -18.00 68.398333 1,231.17 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Jun 17 SALE -21.00 68.280476 1,433.89 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Jun 17 SALE -372.00 68.243495 25,386.58 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Jun 17 SALE -20.00 68.150500 1,363.01 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Jun 17 SALE -256.00 67.435430 17,263.47 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Jun 17 SALE -59.00 67.353051 3,973.83 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Jun 17 SALE -59.00 67.171186 3,963.10 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 6 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 27 Jul 17 SALE -400.00 67.540925 27,016.37 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Oct 17 SALE -1.00 66.260000 66.26 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Oct 17 SALE -384.00 65.375573 25,104.22 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Oct 17 SALE -19.00 65.713684 1,248.56 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Oct 17 SALE -26.00 67.372692 1,751.69 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Oct 17 SALE -24.00 66.558333 1,597.40 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Oct 17 SALE -2.00 60.590000 121.18 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Oct 17 SALE -5.00 59.328000 296.64 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Oct 17 SALE -564.00 58.666543 33,087.93 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Oct 17 SALE -2.00 57.990000 115.98 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Oct 17 SALE -42.00 59.396905 2,494.67 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 16 Oct 17 SALE -86.00 56.334767 4,844.79 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 16 Oct 17 SALE -18.00 56.281667 1,013.07 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Oct 17 SALE -19.00 56.080000 1,065.52 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Oct 17 SALE -752.00 56.080492 42,172.53 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Oct 17 SALE -1,144.00 56.118497 64,199.56 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 19 Oct 17 SALE -95.00 56.917368 5,407.15 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 19 Oct 17 SALE -457.00 57.001575 26,049.72 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 7 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 19 Oct 17 SALE -41.00 57.010488 2,337.43 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 19 Oct 17 SALE -143.00 57.093077 8,164.31 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Oct 17 SALE -72.00 58.141806 4,186.21 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Oct 17 SALE -193.00 57.783472 11,152.21 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Oct 17 SALE -33.00 57.840303 1,908.73 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Oct 17 SALE -151.00 57.834305 8,732.98 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Oct 17 SALE -19.00 57.812632 1,098.44 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 23 Oct 17 SALE -20.00 57.478000 1,149.56 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 23 Oct 17 SALE -126.00 57.303175 7,220.20 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 23 Oct 17 SALE -109.00 57.392110 6,255.74 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 23 Oct 17 SALE -97.00 57.348144 5,562.77 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 23 Oct 17 SALE -67.00 57.273433 3,837.32 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 24 Oct 17 SALE -25.00 57.096800 1,427.42 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 24 Oct 17 SALE -195.00 57.125077 11,139.39 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 24 Oct 17 SALE -11.00 57.160000 628.76 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 25 Oct 17 SALE -77.00 56.995584 4,388.66 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 25 Oct 17 SALE -7.00 56.994286 398.96 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 26 Oct 17 SALE -66.00 57.048939 3,765.23 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 8 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 27 Oct 17 SALE -21.00 57.018095 1,197.38 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 16 Nov 17 SALE -5.00 55.164000 275.82 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 16 Nov 17 SALE -31.00 55.260645 1,713.08 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Nov 17 SALE -29.00 54.286552 1,574.31 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Nov 17 SALE -6.00 54.000000 324.00 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Nov 17 SALE -3.00 55.046667 165.14 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Nov 17 SALE -36.00 52.873056 1,903.43 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Nov 17 SALE -11.00 53.510000 588.61 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 20 Nov 17 SALE -3.00 53.113333 159.34 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 21 Nov 17 SALE -48.00 52.910625 2,539.71 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 29 Nov 17 SALE -516.00 54.833624 28,294.15 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Mar 18 PURCHASE 2,630.00 42.196099 -110,975.74 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Mar 18 PURCHASE 500.00 42.665800 -21,332.90 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 28 Mar 18 SALE -300.00 43.231500 12,969.45 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 10 Apr 18 SALE -43.00 44.162558 1,898.99 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 11 Apr 18 SALE -29.00 44.555172 1,292.10 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 12 Apr 18 SALE -10.00 44.730000 447.30 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Apr 18 SALE -22.00 45.270000 995.94 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 9 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 16 Apr 18 SALE -27.00 45.368148 1,224.94 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 17 Apr 18 SALE -46.00 46.676957 2,147.14 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 May 18 SALE -217.00 46.269677 10,040.52 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 May 18 SALE -59.00 45.688814 2,695.64 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 May 18 SALE -133.00 45.744286 6,083.99 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 May 18 SALE -302.00 46.012285 13,895.71 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 02 May 18 SALE -42.00 45.843810 1,925.44 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 03 May 18 SALE -122.00 44.253197 5,398.89 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 18 May 18 SALE -597.00 42.356951 25,287.10 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 07 Jun 18 SALE -1,044.00 41.304454 43,121.85 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 22 Jun 18 PURCHASE 1,448.00 42.306001 -61,259.09 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 22 Jun 18 PURCHASE 129.00 42.260000 -5,451.54 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 22 Jun 18 PURCHASE 101.00 40.697525 -4,110.45 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 13 Sep 18 SALE -100.00 46.514300 4,651.43 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -3.00 42.446667 127.34 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 43.155000 86.31 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 42.465000 84.93 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -8.00 42.447500 339.58 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 10 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 42.465000 84.93 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -429.00 41.570629 17,833.80 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -34.00 43.418529 1,476.23 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 43.410000 86.82 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -429.00 42.265851 18,132.05 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -6.00 43.416667 260.50 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -7.00 42.344286 296.41 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -1.00 42.750000 42.75 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -6.00 43.416667 260.50 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 42.750000 85.50 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -1.00 43.410000 43.41 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -151.00 42.344901 6,394.08 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -9.00 42.447778 382.03 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -387.00 42.705039 16,526.85 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -27.00 42.344815 1,143.31 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -28.00 42.344643 1,185.65 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -7.00 43.164286 302.15 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -47.00 42.448298 1,995.07 USD OAK ERS - T.ROWE PRICE
Class Action Services
Page 11 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625873 69331C108 CUSIP 09 Nov 18 SALE -41.00 42.886829 1,758.36 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -11.00 42.344545 465.79 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -10.00 42.473000 424.73 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 42.750000 85.50 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -37.00 43.164865 1,597.10 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -1.00 42.750000 42.75 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -2.00 42.440000 84.88 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -12.00 42.759167 513.11 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -3.00 43.163333 129.49 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 09 Nov 18 SALE -6.00 43.161667 258.97 USD OAK ERS - T.ROWE PRICE
2625873 69331C108 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - T.ROWE PRICE
2625902 69331C108 CUSIP 28 Apr 15 OPNHOLD 9,300.00 0.000000 0.00 OAK ERS - WEDGE
2625902 69331C108 CUSIP 01 Jul 15 PURCHASE 300.00 49.364800 -14,809.44 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 21 Jan 16 PURCHASE 400.00 51.724600 -20,689.84 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 01 Mar 16 PURCHASE 100.00 56.628000 -5,662.80 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 01 Apr 16 SALE -642.00 59.868598 38,435.64 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 04 Apr 16 SALE -696.00 59.536609 41,437.48 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 05 Apr 16 SALE -442.00 58.591742 25,897.55 USD OAK ERS - WEDGE
Class Action Services
Page 12 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625902 69331C108 CUSIP 06 Apr 16 SALE -820.00 58.543122 48,005.36 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 16 May 16 SALE -400.00 58.902200 23,560.88 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 07 Jun 16 SALE -655.00 61.590351 40,341.68 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 08 Jun 16 SALE -1,274.00 61.791852 78,722.82 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 09 Jun 16 SALE -71.00 62.111127 4,409.89 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 16 Jun 16 SALE -1,409.00 62.948723 88,694.75 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 17 Jun 16 SALE -1,291.00 62.882517 81,181.33 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 21 Jun 16 SALE -1,942.00 62.685932 121,736.08 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 22 Jun 16 SALE -458.00 62.276026 28,522.42 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 11 Jun 18 PURCHASE 919.00 39.479293 -36,281.47 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 11 Jun 18 PURCHASE 1,675.00 39.425403 -66,037.55 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 12 Jun 18 PURCHASE 1,213.00 39.789200 -48,264.30 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 13 Jun 18 PURCHASE 1,872.00 39.490304 -73,925.85 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 15 Jun 18 PURCHASE 3,029.00 39.973001 -121,078.22 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 18 Jun 18 PURCHASE 657.00 39.859193 -26,187.49 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 24 Jul 18 PURCHASE 72.00 41.216667 -2,967.60 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 24 Jul 18 PURCHASE 848.00 40.702901 -34,516.06 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 24 Jul 18 PURCHASE 848.00 41.102700 -34,855.09 USD OAK ERS - WEDGE
Class Action Services
Page 13 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625902 69331C108 CUSIP 01 Aug 18 PURCHASE 143.00 41.822238 -5,980.58 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 29 Aug 18 PURCHASE 1,865.00 46.571802 -86,856.41 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 30 Oct 18 SALE -951.00 46.763691 44,472.27 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 09 Nov 18 PURCHASE 1,344.00 42.183497 -56,694.62 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 13 Nov 18 PURCHASE 1,463.00 32.881196 -48,105.19 USD OAK ERS - WEDGE
2625902 69331C108 CUSIP 15 Nov 18 CLSHOLD1 14,997.00 0.000000 0.00 OAK ERS - WEDGE
2625905 694308GE1 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308GE1 CUSIP 17 Aug 18 PURCHASE 638,000.00 114.169945 -728,404.25 USD OAK ERS - CS MCKEE
2625905 694308GE1 CUSIP 21 Aug 18 SALE -197,000.00 114.800553 226,157.09 USD OAK ERS - CS MCKEE
2625905 694308GE1 CUSIP 22 Aug 18 SALE -318,000.00 115.071362 365,926.93 USD OAK ERS - CS MCKEE
2625905 694308GE1 CUSIP 22 Aug 18 SALE -123,000.00 115.071358 141,537.77 USD OAK ERS - CS MCKEE
2625905 694308GE1 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 18 Jun 18 PURCHASE 203,000.00 110.385113 -224,081.78 USD OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 19 Jun 18 PURCHASE 190,000.00 108.387221 -205,935.72 USD OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 12 Jul 18 PURCHASE 205,000.00 108.925000 -223,296.25 USD OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 24 Jul 18 PURCHASE 40,000.00 108.271100 -43,308.44 USD OAK ERS - CS MCKEE
2625905 694308GJ0 CUSIP 17 Aug 18 SALE -638,000.00 111.895889 713,895.77 USD OAK ERS - CS MCKEE
Class Action Services
Page 14 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625905 694308GJ0 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HH3 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HH3 CUSIP 26 Feb 18 PURCHASE 393,000.00 103.381527 -406,289.40 USD OAK ERS - CS MCKEE
2625905 694308HH3 CUSIP 18 Jun 18 SALE -203,000.00 96.954305 196,817.24 USD OAK ERS - CS MCKEE
2625905 694308HH3 CUSIP 19 Jun 18 SALE -190,000.00 95.725500 181,878.45 USD OAK ERS - CS MCKEE
2625905 694308HH3 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 03 May 18 PURCHASE 160,000.00 92.703831 -148,326.13 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 23 May 18 PURCHASE 296,000.00 92.180334 -272,853.79 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 12 Jul 18 SALE -259,000.00 91.433251 236,812.12 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 24 Jul 18 SALE -40,000.00 91.298200 36,519.28 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 27 Jul 18 SALE -157,000.00 91.878166 144,248.72 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 21 Aug 18 PURCHASE 197,000.00 92.244447 -181,721.56 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 22 Aug 18 PURCHASE 318,000.00 92.399638 -293,830.85 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 22 Aug 18 PURCHASE 123,000.00 92.399642 -113,651.56 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 15 Nov 18 SALE -126,000.00 82.264167 103,652.85 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 15 Nov 18 SALE -49,000.00 81.639163 40,003.19 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 15 Nov 18 SALE -49,000.00 80.639163 39,513.19 USD OAK ERS - CS MCKEE
Class Action Services
Page 15 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2625905 694308HP5 CUSIP 15 Nov 18 SALE -91,000.00 80.555165 73,305.20 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 15 Nov 18 SALE -126,000.00 82.889167 104,440.35 USD OAK ERS - CS MCKEE
2625905 694308HP5 CUSIP 15 Nov 18 CLSHOLD1 638,000.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HV2 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HV2 CUSIP 12 Feb 18 PURCHASE 456,000.00 95.773500 -436,727.16 USD OAK ERS - CS MCKEE
2625905 694308HV2 CUSIP 03 May 18 SALE -160,000.00 94.370331 150,992.53 USD OAK ERS - CS MCKEE
2625905 694308HV2 CUSIP 15 May 18 EXCHGOUT -296,000.00 0.000000 0.00 USD OAK ERS - CS MCKEE
2625905 694308HV2 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HW0 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HW0 CUSIP 15 May 18 EXCHGIN 296,000.00 0.000000 0.00 USD OAK ERS - CS MCKEE
2625905 694308HW0 CUSIP 23 May 18 SALE -296,000.00 93.744334 277,483.23 USD OAK ERS - CS MCKEE
2625905 694308HW0 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 27 Nov 17 PURCHASE 244,000.00 100.104000 -244,253.76 USD OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 27 Nov 17 PURCHASE 731,000.00 99.564000 -727,812.84 USD OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 12 Feb 18 SALE -456,000.00 93.856917 427,987.54 USD OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 26 Feb 18 SALE -519,000.00 92.829528 481,785.25 USD OAK ERS - CS MCKEE
2625905 694308HX8 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK ERS - CS MCKEE
Class Action Services
Page 16 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 28 Apr 15 OPNHOLD 10,400.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 15 May 15 PURCHASE 1,100.00 51.894300 -57,083.73 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 27 May 15 SALE -300.00 53.251500 15,975.45 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 04 Jun 15 PURCHASE 100.00 51.855000 -5,185.50 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 25 Jun 15 PURCHASE 300.00 49.696800 -14,909.04 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 25 Jun 15 PURCHASE 300.00 49.730700 -14,919.21 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 27 Jul 15 PURCHASE 100.00 51.749600 -5,174.96 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 28 Jul 15 PURCHASE 100.00 52.062200 -5,206.22 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 05 Aug 15 PURCHASE 100.00 51.835000 -5,183.50 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 24 Aug 15 PURCHASE 300.00 50.498900 -15,149.67 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 25 Aug 15 PURCHASE 200.00 49.204000 -9,840.80 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 Sep 15 PURCHASE 100.00 47.955000 -4,795.50 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 Sep 15 PURCHASE 500.00 47.853000 -23,926.50 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 Sep 15 PURCHASE 400.00 48.313900 -19,325.56 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 04 Sep 15 PURCHASE 100.00 47.704500 -4,770.45 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 17 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 08 Sep 15 PURCHASE 400.00 48.281200 -19,312.48 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Sep 15 PURCHASE 800.00 49.639700 -39,711.76 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 28 Oct 15 SALE -400.00 52.941525 21,176.61 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 Nov 15 PURCHASE 1,000.00 53.303300 -53,303.30 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 06 Nov 15 PURCHASE 100.00 51.931700 -5,193.17 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 06 Nov 15 PURCHASE 100.00 51.593600 -5,159.36 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 15 PURCHASE 100.00 51.952300 -5,195.23 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 15 PURCHASE 100.00 52.452100 -5,245.21 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 10 Nov 15 PURCHASE 100.00 53.115300 -5,311.53 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 Dec 15 PURCHASE 100.00 52.070000 -5,207.00 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 Dec 15 PURCHASE 100.00 51.891300 -5,189.13 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 Dec 15 PURCHASE 100.00 51.865800 -5,186.58 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 04 Dec 15 PURCHASE 200.00 52.871300 -10,574.26 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 04 Dec 15 PURCHASE 100.00 52.992300 -5,299.23 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 10 Dec 15 PURCHASE 300.00 51.662600 -15,498.78 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 18 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 11 Dec 15 PURCHASE 100.00 51.872100 -5,187.21 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 14 Dec 15 PURCHASE 100.00 51.671900 -5,167.19 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 06 Jan 16 PURCHASE 100.00 52.910400 -5,291.04 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 07 Apr 16 PURCHASE 191.00 58.738691 -11,219.09 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 08 Apr 16 PURCHASE 240.00 59.328500 -14,238.84 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 08 Apr 16 PURCHASE 240.00 59.263417 -14,223.22 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 08 Apr 16 PURCHASE 156.00 59.193718 -9,234.22 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 28 Apr 16 SALE -200.00 57.751200 11,550.24 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 10 Jun 16 SALE -549.00 62.991129 34,582.13 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 10 Jun 16 SALE -3.00 62.986667 188.96 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 27 Jul 16 SALE -240.00 63.941083 15,345.86 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 07 Nov 16 PURCHASE 200.00 60.304600 -12,060.92 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 30 Jan 17 SALE -500.00 60.571160 30,285.58 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 24 Feb 17 SALE -300.00 66.321033 19,896.31 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 06 Mar 17 SALE -1,887.00 65.833863 124,228.50 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
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Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 19 May 17 SALE -893.00 65.409362 58,410.56 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 19 May 17 SALE -7.00 65.490000 458.43 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 22 May 17 SALE -316.00 65.510032 20,701.17 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 26 May 17 SALE -200.00 67.361000 13,472.20 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 26 May 17 SALE -119.00 67.544202 8,037.76 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 30 May 17 SALE -33.00 67.490606 2,227.19 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 31 May 17 SALE -47.00 68.424894 3,215.97 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 31 May 17 SALE -140.00 68.159286 9,542.30 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 01 Jun 17 SALE -47.00 68.707447 3,229.25 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 Jun 17 SALE -70.00 68.773857 4,814.17 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 Jun 17 SALE -1,025.00 68.889093 70,611.32 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 05 Jun 17 SALE -70.00 68.811571 4,816.81 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 06 Jun 17 SALE -47.00 68.837021 3,235.34 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 07 Jun 17 SALE -47.00 69.008298 3,243.39 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 08 Jun 17 SALE -140.00 68.017429 9,522.44 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 20 of 32
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Filing
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Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 09 Jun 17 SALE -31.00 68.150323 2,112.66 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Jun 17 SALE -28.00 68.398214 1,915.15 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Jun 17 SALE -34.00 68.280588 2,321.54 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Jun 17 SALE -612.00 68.243497 41,765.02 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Jun 17 SALE -422.00 67.435403 28,457.74 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Jun 17 SALE -93.00 67.353011 6,263.83 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Jun 17 SALE -93.00 67.171183 6,246.92 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 27 Sep 17 SALE -300.00 67.980100 20,394.03 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Oct 17 SALE -698.00 65.375587 45,632.16 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Oct 17 SALE -44.00 66.558409 2,928.57 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Oct 17 SALE -33.00 65.713333 2,168.54 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Oct 17 SALE -48.00 67.373125 3,233.91 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Oct 17 SALE -961.00 58.666535 56,378.54 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Oct 17 SALE -7.00 59.328571 415.30 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Oct 17 SALE -4.00 60.592500 242.37 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 21 of 32
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Filing
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Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 13 Oct 17 SALE -70.00 59.396857 4,157.78 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Oct 17 SALE -2.00 57.990000 115.98 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 16 Oct 17 SALE -146.00 56.334863 8,224.89 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 16 Oct 17 SALE -1.00 56.270000 56.27 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 16 Oct 17 SALE -31.00 56.281613 1,744.73 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Oct 17 SALE -1,274.00 56.080495 71,446.55 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Oct 17 SALE -31.00 56.080323 1,738.49 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Oct 17 SALE -1,924.00 56.118503 107,972.00 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 19 Oct 17 SALE -180.00 57.093056 10,276.75 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 19 Oct 17 SALE -47.00 57.010426 2,679.49 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 19 Oct 17 SALE -582.00 57.001581 33,174.92 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 19 Oct 17 SALE -119.00 56.917395 6,773.17 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Oct 17 SALE -91.00 58.141758 5,290.90 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Oct 17 SALE -79.00 57.840506 4,569.40 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Oct 17 SALE -457.00 57.783435 26,407.03 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 22 of 32
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Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 20 Oct 17 SALE -191.00 57.834346 11,046.36 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Oct 17 SALE -23.00 57.812174 1,329.68 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 23 Oct 17 SALE -229.00 57.348166 13,132.73 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 23 Oct 17 SALE -38.00 57.477895 2,184.16 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 23 Oct 17 SALE -297.00 57.303165 17,019.04 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 23 Oct 17 SALE -201.00 57.392139 11,535.82 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 23 Oct 17 SALE -124.00 57.273468 7,101.91 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 24 Oct 17 SALE -45.00 57.097111 2,569.37 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 24 Oct 17 SALE -20.00 57.160500 1,143.21 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 24 Oct 17 SALE -363.00 57.125069 20,736.40 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 25 Oct 17 SALE -13.00 56.994615 740.93 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 25 Oct 17 SALE -142.00 56.995634 8,093.38 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 26 Oct 17 SALE -123.00 57.048943 7,017.02 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 27 Oct 17 SALE -40.00 57.017750 2,280.71 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 16 Nov 17 SALE -9.00 55.163333 496.47 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 23 of 32
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Filing
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Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 16 Nov 17 SALE -52.00 55.260577 2,873.55 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Nov 17 SALE -10.00 54.000000 540.00 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Nov 17 SALE -5.00 55.048000 275.24 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Nov 17 SALE -48.00 54.286458 2,605.75 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Nov 17 SALE -18.00 53.510000 963.18 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Nov 17 SALE -60.00 52.873167 3,172.39 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 20 Nov 17 SALE -6.00 53.113333 318.68 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 21 Nov 17 SALE -81.00 52.910617 4,285.76 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 29 Nov 17 SALE -867.00 54.833633 47,540.76 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Mar 18 PURCHASE 3,806.00 42.196101 -160,598.36 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 13 Mar 18 PURCHASE 724.00 42.665801 -30,890.04 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 28 Mar 18 SALE -200.00 43.231500 8,646.30 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 10 Apr 18 SALE -73.00 44.162603 3,223.87 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 11 Apr 18 SALE -49.00 44.554898 2,183.19 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 12 Apr 18 SALE -18.00 44.731111 805.16 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 24 of 32
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Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 13 Apr 18 SALE -37.00 45.270811 1,675.02 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 16 Apr 18 SALE -45.00 45.368222 2,041.57 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 17 Apr 18 SALE -77.00 46.677013 3,594.13 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 May 18 SALE -63.00 45.843810 2,888.16 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 May 18 SALE -202.00 45.744257 9,240.34 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 May 18 SALE -459.00 46.012331 21,119.66 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 May 18 SALE -90.00 45.688778 4,111.99 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 02 May 18 SALE -330.00 46.269667 15,268.99 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 03 May 18 SALE -185.00 44.253243 8,186.85 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 18 May 18 SALE -909.00 42.356942 38,502.46 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 07 Jun 18 SALE -1,585.00 41.304461 65,467.57 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 22 Jun 18 PURCHASE 196.00 42.260000 -8,282.96 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 22 Jun 18 PURCHASE 153.00 40.697516 -6,226.72 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 22 Jun 18 PURCHASE 2,199.00 42.305998 -93,030.89 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -1.00 42.470000 42.47 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 25 of 32
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Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 09 Nov 18 SALE -13.00 42.448462 551.83 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -4.00 42.757500 171.03 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -20.00 42.758500 855.17 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -622.00 42.705016 26,562.52 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -55.00 43.418545 2,388.02 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 42.473333 127.42 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -10.00 43.164000 431.64 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -10.00 43.418000 434.18 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 42.446667 127.34 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -689.00 41.570653 28,642.18 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -5.00 42.448000 212.24 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -15.00 42.474667 637.12 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -43.00 42.344884 1,820.83 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -4.00 43.162500 172.65 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -76.00 42.448289 3,226.07 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
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Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 09 Nov 18 SALE -11.00 43.164545 474.81 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -66.00 42.886818 2,830.53 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -4.00 43.417500 173.67 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -60.00 43.165000 2,589.90 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -242.00 42.344917 10,247.47 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 43.416667 130.25 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -11.00 42.344545 465.79 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -1.00 42.470000 42.47 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -16.00 42.345000 677.52 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -1.00 42.750000 42.75 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -14.00 42.447857 594.27 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -10.00 43.418000 434.18 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -690.00 42.265841 29,163.43 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 43.163333 129.49 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 42.756667 128.27 USD OAK VEBA - T.ROWE
PRICE
Class Action Services
Page 27 of 32
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Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626004 69331C108 CUSIP 09 Nov 18 SALE -3.00 42.473333 127.42 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 09 Nov 18 SALE -45.00 42.344889 1,905.52 USD OAK VEBA - T.ROWE
PRICE
2626004 69331C108 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - T.ROWE
PRICE
2626020 69331C108 CUSIP 28 Apr 15 OPNHOLD 17,800.00 0.000000 0.00 OAK VEBA - WEDGE
2626020 69331C108 CUSIP 01 Jul 15 PURCHASE 700.00 49.364800 -34,555.36 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 21 Jan 16 PURCHASE 700.00 51.724600 -36,207.22 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 01 Mar 16 PURCHASE 200.00 56.628000 -11,325.60 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 01 Apr 16 SALE -1,135.00 59.868599 67,950.86 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 04 Apr 16 SALE -1,232.00 59.536599 73,349.09 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 05 Apr 16 SALE -782.00 58.591726 45,818.73 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 06 Apr 16 SALE -1,451.00 58.543122 84,946.07 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 16 May 16 SALE -700.00 58.902214 41,231.55 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 07 Jun 16 SALE -1,145.00 61.590358 70,520.96 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 08 Jun 16 SALE -2,231.00 61.791851 137,857.62 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 09 Jun 16 SALE -124.00 62.111210 7,701.79 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 16 Jun 16 SALE -2,452.00 62.948728 154,350.28 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 17 Jun 16 SALE -2,248.00 62.882527 141,359.92 USD OAK VEBA - WEDGE
Class Action Services
Page 28 of 32
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Class Start
Class End Claims Admin Name Web Address
Filing
Deadline
Exclusion
Deadline
Objection/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626020 69331C108 CUSIP 21 Jun 16 SALE -3,478.00 62.685932 218,021.67 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 22 Jun 16 SALE -822.00 62.276034 51,190.90 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 11 Jun 18 PURCHASE 3,056.00 39.425399 -120,484.02 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 11 Jun 18 PURCHASE 1,677.00 39.479302 -66,206.79 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 12 Jun 18 PURCHASE 2,216.00 39.789201 -88,172.87 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 13 Jun 18 PURCHASE 3,418.00 39.490298 -134,977.84 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 15 Jun 18 PURCHASE 5,528.00 39.972999 -220,970.74 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 18 Jun 18 PURCHASE 1,200.00 39.859200 -47,831.04 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 24 Jul 18 PURCHASE 132.00 41.216667 -5,440.60 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 24 Jul 18 PURCHASE 1,549.00 41.102699 -63,668.08 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 24 Jul 18 PURCHASE 1,549.00 40.702899 -63,048.79 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 01 Aug 18 PURCHASE 259.00 41.822278 -10,831.97 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 29 Aug 18 PURCHASE 3,410.00 46.571801 -158,809.84 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 30 Oct 18 SALE -1,738.00 46.763694 81,275.30 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 09 Nov 18 PURCHASE 2,455.00 42.183499 -103,560.49 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 13 Nov 18 PURCHASE 2,671.00 32.881202 -87,825.69 USD OAK VEBA - WEDGE
2626020 69331C108 CUSIP 15 Nov 18 CLSHOLD1 27,382.00 0.000000 0.00 OAK VEBA - WEDGE
2626047 694308GE1 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
Class Action Services
Page 29 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626047 694308GE1 CUSIP 17 Aug 18 PURCHASE 1,034,000.00 114.169945 -1,180,517.23 USD OAK VEBA - CS MCKEE
2626047 694308GE1 CUSIP 21 Aug 18 SALE -320,000.00 114.800556 367,361.78 USD OAK VEBA - CS MCKEE
2626047 694308GE1 CUSIP 22 Aug 18 SALE -515,000.00 115.071361 592,617.51 USD OAK VEBA - CS MCKEE
2626047 694308GE1 CUSIP 22 Aug 18 SALE -199,000.00 115.071362 228,992.01 USD OAK VEBA - CS MCKEE
2626047 694308GE1 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 18 Jun 18 PURCHASE 334,000.00 110.385111 -368,686.27 USD OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 19 Jun 18 PURCHASE 314,000.00 108.387223 -340,335.88 USD OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 12 Jul 18 PURCHASE 350,000.00 108.925000 -381,237.50 USD OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 24 Jul 18 PURCHASE 36,000.00 108.271111 -38,977.60 USD OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 17 Aug 18 SALE -1,034,000.00 111.895889 1,157,003.49 USD OAK VEBA - CS MCKEE
2626047 694308GJ0 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HH3 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HH3 CUSIP 26 Feb 18 PURCHASE 648,000.00 103.381528 -669,912.30 USD OAK VEBA - CS MCKEE
2626047 694308HH3 CUSIP 18 Jun 18 SALE -334,000.00 96.954305 323,827.38 USD OAK VEBA - CS MCKEE
2626047 694308HH3 CUSIP 19 Jun 18 SALE -314,000.00 95.725500 300,578.07 USD OAK VEBA - CS MCKEE
2626047 694308HH3 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
Class Action Services
Page 30 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626047 694308HP5 CUSIP 03 May 18 PURCHASE 278,000.00 92.703835 -257,716.66 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 04 May 18 PURCHASE 502,000.00 92.556028 -464,631.26 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 12 Jul 18 SALE -442,000.00 91.433251 404,134.97 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 24 Jul 18 SALE -69,000.00 91.298188 62,995.75 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 27 Jul 18 SALE -269,000.00 91.878167 247,152.27 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 21 Aug 18 PURCHASE 320,000.00 92.244444 -295,182.22 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 22 Aug 18 PURCHASE 515,000.00 92.399639 -475,858.14 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 22 Aug 18 PURCHASE 195,000.00 92.399641 -180,179.30 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 SALE -147,000.00 80.555170 118,416.10 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 SALE -80,000.00 80.639162 64,511.33 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 SALE -78,000.00 81.639167 63,678.55 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 SALE -203,000.00 82.264167 166,996.26 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 SALE -203,000.00 82.889167 168,265.01 USD OAK VEBA - CS MCKEE
2626047 694308HP5 CUSIP 15 Nov 18 CLSHOLD1 1,030,000.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HV2 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HV2 CUSIP 12 Feb 18 PURCHASE 780,000.00 95.773500 -747,033.30 USD OAK VEBA - CS MCKEE
2626047 694308HV2 CUSIP 03 May 18 SALE -278,000.00 94.370335 262,349.53 USD OAK VEBA - CS MCKEE
2626047 694308HV2 CUSIP 04 May 18 SALE -502,000.00 94.366500 473,719.83 USD OAK VEBA - CS MCKEE
Class Action Services
Page 31 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2626047 694308HV2 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 27 Nov 17 PURCHASE 375,000.00 100.104000 -375,390.00 USD OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 27 Nov 17 PURCHASE 1,261,000.00 99.564000 -1,255,502.04 USD OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 12 Feb 18 SALE -780,000.00 93.856917 732,083.95 USD OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 26 Feb 18 SALE -856,000.00 92.829528 794,620.76 USD OAK VEBA - CS MCKEE
2626047 694308HX8 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK VEBA - CS MCKEE
2648039 694308GE1 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308GE1 CUSIP 17 Aug 18 PURCHASE 13,000.00 114.169923 -14,842.09 USD OAK SMB - CS MCKEE
2648039 694308GE1 CUSIP 21 Aug 18 SALE -4,000.00 114.800500 4,592.02 USD OAK SMB - CS MCKEE
2648039 694308GE1 CUSIP 22 Aug 18 SALE -3,000.00 115.071333 3,452.14 USD OAK SMB - CS MCKEE
2648039 694308GE1 CUSIP 22 Aug 18 SALE -6,000.00 115.071333 6,904.28 USD OAK SMB - CS MCKEE
2648039 694308GE1 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308GJ0 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308GJ0 CUSIP 18 Jun 18 PURCHASE 7,000.00 110.385143 -7,726.96 USD OAK SMB - CS MCKEE
2648039 694308GJ0 CUSIP 19 Jun 18 PURCHASE 6,000.00 108.387167 -6,503.23 USD OAK SMB - CS MCKEE
2648039 694308GJ0 CUSIP 17 Aug 18 SALE -13,000.00 111.895923 14,546.47 USD OAK SMB - CS MCKEE
2648039 694308GJ0 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK SMB - CS MCKEE
Class Action Services
Page 32 of 32
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/
PG&E CORP. BANKRUPTCY 28 Apr 15
15 Nov 18
16 Apr 20
Account
Filed
Security ID ID Type Trade Date Trans Type
06 Apr 20
CV
NOTIFIED https://restructuring.primeclerk.com/pgePRIME CLERK
Price Net Currency Account Name
2648039 694308HH3 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308HH3 CUSIP 26 Feb 18 PURCHASE 13,000.00 103.381538 -13,439.60 USD OAK SMB - CS MCKEE
2648039 694308HH3 CUSIP 18 Jun 18 SALE -7,000.00 96.954286 6,786.80 USD OAK SMB - CS MCKEE
2648039 694308HH3 CUSIP 19 Jun 18 SALE -6,000.00 95.725500 5,743.53 USD OAK SMB - CS MCKEE
2648039 694308HH3 CUSIP 15 Nov 18 CLSHOLD1 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 28 Apr 15 OPNHOLD 0.00 0.000000 0.00 OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 21 Aug 18 PURCHASE 4,000.00 92.244500 -3,689.78 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 22 Aug 18 PURCHASE 3,000.00 92.399667 -2,771.99 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 22 Aug 18 PURCHASE 6,000.00 92.399667 -5,543.98 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 15 Nov 18 SALE -3,000.00 80.555333 2,416.66 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 15 Nov 18 SALE -3,000.00 82.264000 2,467.92 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 15 Nov 18 SALE -3,000.00 82.889000 2,486.67 USD OAK SMB - CS MCKEE
2648039 694308HP5 CUSIP 15 Nov 18 CLSHOLD1 13,000.00 0.000000 0.00 OAK SMB - CS MCKEE
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.