Class Members who acquired Alange securities during the Class Period, August 30, 2010 to and including January 12, 2011, and who held some or all of these securities on January 13, 2011, were eligible for compensation and could file a claim using the Claims System.

The Claims System was used for all claim activities including:

• Registering a claim to participate in the settlement.
• Communicating with the Settlement Administrator with respect to a claim.
• Editing and certifying a claim.
• Uploading supporting documents to attach to a claim.
• Preparing a Fax Cover Sheet to fax documents to attach to a claim.
• Checking the status of a completed claim.
• Authorized claimants’ settlement award calculations.

The deadline to register a claim and submit the Claim Package to the Settlement Administrator was 5:00 pm (Eastern) on April 10, 2014.

Note:

• Bulk claim filing was available to brokers and wealth managers with complete signing authority on the trading accounts of their clients.
• Paper claim forms were available to class members without access to a computer with internet connectivity.
• The Claims System was available in English, French and Spanish.