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General Active Case List (GACL)
MIAMI ∙ FRANKFURT ∙ LONDON ∙ PARIS www.drrt.com
Disclaimer :
In the attempt to provide globally invested institutional investors securities litigation and loss recovery opportunities worldwide, analyzing developments on capital markets around the world, with reliable and comprehensive information about DRRT is constantly monitoring, researching and including the availability of elective loss recovery jurisdictions.
The purpose of this General Active Case List (GACL) is to provide the subscribers of this list with an overview over relevant loss recovery opportunities relating to investor misrepresentation or fraud. This GACL contains the most comprehensive and complete list available for all relevant jurisdictions and cases, in the following categories:
result-oriented fee.
Current DRRT Pro-Active Portfolio MonitoringSM clients also receive weekly Individual Trade Requests (ITRs) for allrelevant cases and do not need to respond to the report overview. Cases in categories 4 and 5 will be included in ITRsonce they become recommended cases.
Special Cases/Opt-Outs: All U.S. and non-U.S. cases which we consider interesting for active participation in theform of a private action (opt-out or direct) or as a class representative situation, and in which your involvement may increase or secure your rights to some loss recovery.
1.
Australian/New Zealand Cases: All new Australian or New Zealand opt-in class actions open for potential involvement in which you may secure your rights to future loss recovery.
2.
Pending Settlements: All presently pending or announced settlements, in which you might have claims.3.
Class Actions within 60-day window:actions after the deadline has passed which may be interesting for special purposes such as opt-outs, but are notready for action.
4.
Monitored Cases: Certain U.S. and non-U.S. cases that are currently being monitored and might become relevantfor future participation.
5.
Filed Cases:longer open for participation.
6.
Taiwan Cases: DRRT currently monitors securities group action cases in the Republic of China (Taiwan) brought by the Securities and Futures Investors Protection Center (SFIPC) and will notify of any loss recovery opportunity or
process of exploring and developing its strategy to assist in monitoring.
7.
The information contained herein can and may not be considered legal advice. DRRT, or any of its lawyers, does not accept liability for the information in
contained in the report on a timely basis. The report is distributed on a monthly basis, so there might be some timing gaps between otherwise public cases
contact [email protected].
Special Cases
Special CasesAll cases we consider interesting for active involvement as private action/opt-out or in order to protect certain situations (cover securities or additional defendants)
Confidential Attorney-Client Communication
General Active Case List Created On: 8/25/20213:31:44 AM
Sr. # Flag * Company Deadline Start of ClassPeriod
End of ClassPeriod Case Status
1 Bayer AG (Germany) Non-US
Ticker:
CUSIP:
ISIN: DE000BAY1BR7, DE000A189FZ7, DE000A189F04,DE000BAY0017
08/31/2021 05/22/2016 11/29/2019 Potential Special Case in Germany.
2 Daimler AG (Germany) Non-US
Ticker:
CUSIP: D1668R123
ISIN: DE0007100000
10/15/2021 07/10/2012 12/31/2018 On December 30, 2019, DRRT filed
a case on behalf of 219 institutional
investors claiming €896 million in
damages against Daimler AG
before the Regional Court Stuttgart,
Germany.3 Vale S.A. (Brazil) Non-US
Ticker: VALE5 BZ, VALE3 BZ
CUSIP:
ISIN: BRVALEACNOR0, BRVALEACNPA3
09/30/2021 11/16/2015 07/03/2019 Potential Special Case in Brazil.
4 Wirecard AG (Germany) Non-US
Ticker: WDI GY
CUSIP: ZR4792175, 97654L108
ISIN: DE000A2YNQ58, DE0007472060
08/31/2021 07/10/2012 06/25/2020 Potential Special Case in Germany.
5 Wirecard AG (Insolvency Proceeding) Non-US
Ticker:
CUSIP: ZR4792175, 97654L108
ISIN: DE000A2YNQ58, DE0007472060
08/31/2021 07/10/2012 06/25/2020 Potential Special Case in Germany.
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
Australia/New Zealand Cases
Australia/New Zealand CasesAll presently pending, ongoing, or announced Australian or New Zealand shareholder litigations available for client participation
Confidential Attorney-Client Communication
*Cases highlighted in blue represent cases that have been added, or updated to this report since the last mailing.
*The cases for which transaction data has been sent to DRRT are highlighted in orange.
General Active Case List Created On: 8/25/20213:31:44 AM
Sr. # Company Deadline Start of ClassPeriod
End of ClassPeriod Comments
1 Alita Resources Ltd. (Australia)
Ticker: 40F
CUSIP: Q0R98H108
ISIN: AU0000031270
12/01/2021 01/01/2019 08/19/2021 On behalf of investors who purchased
Alita Resources Ltd shares during the
period from 1 January 2019 to date
2 AMP Limited (Australia)
Ticker: AMLYY, AMP
CUSIP: 0017EP202, 0017EP103, Q0344G101
ISIN: US0017EP2020, US0017EP1030, AU000000AMP6
10/01/2021 05/10/2012 04/13/2018
3 Ardent Leisure Group Ltd. (Australia)
Ticker: AAD, ALG
CUSIP: Q0499P138
ISIN: AU0000027484
10/01/2021 06/16/2014 10/25/2016
4 Arrium Limited (Australia)
Ticker: ARI
CUSIP: Q05369105
ISIN: AU000000ARI0
10/01/2021 08/18/2014 07/19/2018
5 Beach Energy Limited (Australia)
Ticker: BPT
CUSIP: Q13921103
ISIN: AU000000BPT9
09/01/2021 08/14/2020 04/29/2021
6 BHP Billiton Limited/BHP Billiton Plc (Australia)
Ticker: BHP Group Plc
CUSIP: G10877101, Q1498M100
ISIN: GB0000566504, AU000000BHP4
10/01/2021 08/08/2012 11/30/2015
7 Blue Sky Alternative Investments Ltd. (Australia)
Ticker: BLA, BAF
CUSIP: Q16269104, Q1415T113
ISIN: AU000000BLA8, AU000000BAF0
09/01/2021 01/02/2012 01/17/2019
8 Boral Limited (Australia) (Maurice Blackburn)
Ticker: BOALY, BLD
CUSIP: 099514101, Q16969109
ISIN: US0995141019, AU000000BLD2
10/01/2021 11/21/2016 02/10/2020
9 Brambles Ltd. (Australia)
Ticker: BXB
CUSIP: Q6634U106
ISIN: AU000000BXB1
10/01/2021 08/17/2016 02/19/2017
10 CIMIC Group Limited (Australia)
Ticker: CIM
CUSIP: Q2424E105
ISIN: AU000000CIM7
09/30/2021 01/02/2017 11/30/2020
11 Crown Resorts Limited (Australia)
Ticker: CWN, ASE
CUSIP: Q3015N108
ISIN: AU000000CWN6
10/01/2021 02/05/2015 10/16/2016
12 Crown Resorts Limited (Australia) (2020)
Ticker: CWN
CUSIP: Q3015N108
ISIN: AU000000CWN6
10/01/2021 09/15/2014 10/19/2020
13 EML Payments Ltd. (Australia)
Ticker: EML
CUSIP: Q3482X100
ISIN: AU000000EML7
09/01/2021 11/08/2019 05/18/2021
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
General Active Case List Created On: 8/25/20213:31:44 AM
14 Foreign Exchange Cartel (Australia)
Ticker:
CUSIP:
ISIN:
10/01/2021 01/01/2008 10/15/2013 On behalf of those who, during the
Class Period, engaged in Foreign
Exchange ("FX") transactions (i.e. FX
spot transactions and outright
forwards):(i) Which were arranged in
Australia, either because you were
located in Australia (either directly or
indirectly through an agent) or
because the bank or financial
institution that you arranged them
through was located in Australia;
and(ii) The total value of your
transactions in the affected
currencies during this period
exceeded AUD $500,00015 Freedom Foods Group Limited (Australia)
Ticker: FNP
CUSIP: Q6075X163
ISIN: AU000000FNP3
09/30/2021 12/06/2014 06/24/2020
16 G8 Education Limited (Australia)
Ticker: GEM
CUSIP: Q3973C110
ISIN: AU000000GEM7
10/01/2021 05/24/2017 02/26/2018
17 GetSwift Limited (Australia) (Phi Finney McDonald)
Ticker: GSW.AX
CUSIP: Q402A3102
ISIN: AU000000GSW6
10/01/2021 02/24/2017 01/19/2018
18 LendLease Corporation Limited (Australia)
Ticker: LLESY, LLC
CUSIP: 526023205, Q55368114
ISIN: US5260232054, AU000000LLC3
09/30/2021 12/31/2015 02/22/2019
19 Mayne Pharma Group Ltd. (Australia)
Ticker: MYX
CUSIP: Q5857C108, 578451106
ISIN: US5784511066, AU000000MYX0, AU000000HGN8
09/30/2021 11/24/2014 12/15/2016
20 Mesoblast Limited (Australia)
Ticker: MSB, MESO
CUSIP: Q6005U107, 590717104
ISIN: US5907171046, AU000000MSB8
09/30/2021 02/22/2018 12/17/2020
21 Nuix Ltd. (Australia)
Ticker: NXL
CUSIP: Q7012J101
ISIN: AU0000119307
09/30/2021 11/25/2020 05/30/2021
22 RCR Tomlinson Limited (Australia)
Ticker: RCR
CUSIP: Q8048W108
ISIN: AU000000RCR7
10/01/2021 12/30/2016 11/11/2018
23 Slater & Gordon Ltd (Pitcher Partners) (Australia)
Ticker: SGH
CUSIP: Q8510C200
ISIN: AU000000SGH7
10/01/2021 03/30/2015 02/24/2016
24 Standard & Poor Collateralized Debt Obligations(CDOs) (Australia)
Ticker:
CUSIP: Q4R401AA2, G8440JAB8, G6765HAL1, G3387AAD9,G0537T143, G0537T135, G0537GAK5
ISIN: XS0296040610, XS0274986040, XS0269177860,XS0265147115, XS0263633496, XS0263576596, XS0254089690,AU3FN0003695, AU3FN0002879, AU3FN0002341,AU3FN0002234, AU3FN0001921, AU3FN0001913,AU3FN0001871, AU3FN0001442, AU300ECHO154
10/01/2021 01/01/2005 12/31/2008 On behalf of any person who
acquired interest in one or more
collateralized debt obligations
("CDOs") assigned credit ratings AA
or higher by Standard & Poor's
("S&P") using CDO Evaluator 3.0, 3.
or 3.2 ("CDOE")
25 Treasury Wine Estates Ltd. (2020) (Australia)
Ticker: TWE
CUSIP: Q9194S107
ISIN: AU000000TWE9
10/01/2021 06/30/2018 01/28/2020
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 2
General Active Case List Created On: 8/25/20213:31:44 AM
26 Westpac Banking Corporation (Australia)
Ticker: WBK, WBC
CUSIP: Q97417101, 961214301
ISIN: US9612143019, AU000000WBC1
09/30/2021 11/19/2013 11/19/2019 On behalf those who acquired
Westpac Banking Corporation
("WBC") ordinary shares or American
Depository Receipts prior to 19
November 2019
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 3
Taiwan Cases
Taiwan CasesSecurities group action cases in the Republic of China (Taiwan) brought by the Securities and Futures Investors Protection Center (SFIPC).
Confidential Attorney-Client Communication
General Active Case List Created On: 8/25/20213:31:44 AM
Sr. # Company SettlementAmount Deadline Start of Class
PeriodEnd of Class
Period Comments
1 China Shenshan Orchard Holdings Co., Ltd.(Taiwan)
Ticker: 911616
CUSIP: G2860H118
ISIN: TW0009116160
$0.00 09/24/2021 TBD TBD On behalf of all investors who still
hold Dukang Holdings Co., Ltd.
(N/K/A China Shenshan Orchard
Holdings Co., Ltd.) on August 31,
2021
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
Pending Settlements
Pending SettlementsAll presently pending or announced settlements with potential client involvement or eligibility
Confidential Attorney-Client Communication
*Cases highlighted in blue represent cases that have been added, or updated to this report since the last mailing.
General Active Case List Created On: 8/25/20213:31:45 AM
Sr. # Company SettlementAmount
Proof of ClaimSubmission
Deadline
Start of ClassPeriod
End of ClassPeriod Comments
1 Ladenburg Thalmann Financial Services Inc.(2020)
Ticker: LTS
CUSIP: 50575Q102
ISIN: US50575Q1022
$1,050,000.00 09/07/2021 02/12/2020 02/18/2020
2 China Zenix Auto International Ltd.
Ticker: ZXAIY
CUSIP: 16951E104
ISIN: US16951E1047
$1,800,000.00 09/08/2021 10/01/2015 09/14/2018
3 Orexigen Therapeutics, Inc.
Ticker: OREXQ, OREX
CUSIP: 686164302, 686164104
ISIN: US6861643020, US6861641040
Other Securities: OPTIONS
$4,800,000.00 09/09/2021 03/02/2015 08/10/2015
4 WageWorks, Inc. (2018)
Ticker: WAGE
CUSIP: 930427109
ISIN: US9304271094
$30,000,000.00 09/14/2021 05/05/2016 05/15/2019
5 Baxter International Inc. (2019)
Ticker: BAX
CUSIP: 071813109
ISIN: US0718131099
$16,000,000.00 09/16/2021 02/20/2019 01/21/2020
6 Super Micro Computer, Inc. (SEC)
Ticker: SMCI
CUSIP: 86800U104
ISIN: US86800U1043
$17,851,056.00 09/18/2021 10/21/2014 04/30/2018
7 ChinaCache International Holdings Ltd. (2019)(C.D. Cal.)
Ticker: CCIH
CUSIP: 16950M107
ISIN: US16950M1071
$1,800,000.00 09/21/2021 04/09/2015 12/03/2019
8 Akazoo S.A. (E.D.N.Y.)
Ticker: MMDM, SONG
CUSIP: L0164E108, 60765P103, L6485M109, 204045640,204045330
ISIN: US60765P1030, LU2040456407, LU2040453305
$4,900,000.00 09/23/2021 01/23/2019 05/21/2020
9 Esperion Therapeutics, Inc. (2016)
Ticker: ESPR
CUSIP: 29664W105
ISIN: US29664W1053
$18,250,000.00 09/24/2021 08/17/2015 12/24/2015
10 Tivity Health, Inc.
Ticker: TVTY
CUSIP: 422245100, 88870R102
ISIN: US4222451001, US88870R1023
$7,500,000.00 09/27/2021 03/03/2017 02/02/2018
11 Trevena, Inc.
Ticker: TRVN
CUSIP: 89532E109
ISIN: US89532E1091
$8,500,000.00 09/27/2021 04/29/2016 01/04/2019
12 Osmotica Pharmaceuticals plc
Ticker: OSMT
CUSIP: G6S41R101
ISIN: IE00BF2HDL56
$5,250,000.00 09/30/2021 10/17/2018 04/26/2019
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
General Active Case List Created On: 8/25/20213:31:45 AM
13 Clovis Oncology, Inc. (SEC)
Ticker: CLVS
CUSIP: 189464100
ISIN: US1894641000
$20,804,145.00 10/06/2021 07/06/2015 02/12/2016
14 GreenSky, Inc. (2018) (S.D.N.Y.)
Ticker: GSKY
CUSIP: 39572G100
ISIN: US39572G1004
$27,500,000.00 10/09/2021 05/23/2018 08/05/2019
15 Fiduciary/Claymore Energy Infrastructure Fund
Ticker: FMO
CUSIP: 31647Q205, 31647Q106
ISIN: US31647Q2057, US31647Q1067
$0.00 10/09/2021 03/06/2020 02/01/2021
16 Southwestern Energy Company
Ticker: SWNC
CUSIP: 845467208
ISIN: US8454672085
$7,000,000.00 10/12/2021 01/15/2015 01/15/2018
17 Restoration Robotics, Inc. (2018) (N.D. Cal.)
Ticker: HAIR, VERO
CUSIP: 92332W105, 76133C103
ISIN: US92332W1053, US76133C1036
$4,175,000.00 10/23/2021 10/11/2017 04/21/2021
18 New Oriental Education & Technology GroupInc. (D.N.J.)
Ticker: EDU
CUSIP: 647581107
ISIN: US6475811070
$3,150,000.00 10/26/2021 09/27/2016 03/01/2017
19 Mammoth Energy Services, Inc.
Ticker: TUSK
CUSIP: 56155L108
ISIN: US56155L1089
$11,000,000.00 10/30/2021 10/18/2017 06/05/2019
20 Dynagas LNG Partners LP
Ticker: DLNG.PRA, DLNG.PRB, DLNG
CUSIP: 26780TAA5, Y2188B116, Y2188B124, Y2188B108
ISIN: US26780TAA51, MHY2188B1166, MHY2188B1240,MHY2188B1083
Other Securities: OPTIONS
$4,500,000.00 11/05/2021 12/20/2017 06/19/2019
21 AV1 Group/EnviroTechnologies/CyberfortSoftware/Link Reservations/BioHemp (SEC)(O’Rourke)
Ticker: OMID, LRSV, ETII, CYBF, BKIT
CUSIP: 29414X106, 23249C106, 67098K107, 093152205,535771109, 29414X205, 23249C205, 09076B105,00241Q309, 00241Q200, 00241Q101
ISIN: US29414X1063, US23249C1062, US67098K1079,US0931522058, US5357711093, US29414X2053,US23249C2052, US09076B1052, US00241Q3092,US00241Q2003, US00241Q1013
$5,763,719.00 11/09/2021 05/03/2016 07/16/2019 On behalf of those who
purchased one or more of the
following securities during the
Relevant Period;AV1 Group, Inc;
EnviroTechnologies International,
Inc.; Cyberfort Software, Inc.; Link
Reservations, Inc.; BioHemp
International, Inc.
22 American Realty Capital Properties, Inc. (SEC)
Ticker: VER
CUSIP: 92339V308, 92339V100, 02917T104
ISIN: US92339V3087, US92339V1008, US02917T1043
$34,063,856.00 11/15/2021 02/27/2013 10/28/2014 **If you initially filed a claim for
the American Realty Capital
Properties, Inc. (2014) settlement
case, you do not need to file a
new claim in this matter.23 Intersect ENT
Ticker: XENT
CUSIP: 46071F103
ISIN: US46071F1030
$1,900,000.00 11/18/2021 02/26/2018 10/30/2019
24 Corrections Corporation of America (2016)
Ticker: CXW
CUSIP: 22025YAQ3, 22025YAP5, 22025YAL4,22025Y407, 22025Y100, 21871N101
ISIN: US22025YAQ35, US22025YAP51, US22025YAL48,US22025Y4070, US22025Y1001, US21871N1019
Other Securities: OPTIONS
$56,000,000.00 11/19/2021 02/16/2012 04/01/2020
25 Liberty Health Sciences, Inc.
Ticker: LHS
CUSIP: 81372N307, 530562107
ISIN: CA81372N3076, CA5305621073
$1,800,000.00 11/22/2021 07/19/2017 03/06/2019
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 2
General Active Case List Created On: 8/25/20213:31:45 AM
26 EchoStar Corporation
Ticker: SATS, DISH
CUSIP: 278768106, 25470M109
ISIN: US2787681061, US25470M1099
$21,000,000.00 11/27/2021 08/16/2019 08/19/2019
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 3
General Active Case List Created On: 8/25/20213:31:45 AM
27 Mexican Government Bond Transactions(Antitrust)
$20,700,000.00 11/29/2021 01/01/2006 04/19/2017
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 4
General Active Case List Created On: 8/25/20213:31:45 AM
Ticker:
CUSIP: EF7918115, EF5478096, EF5805942, EF2270975,ED7791103, ED7597518, EH6834517, EH7175118,EH1850997, EG6663686, EG1116375, EG1429968,EI7570381, EI5616079, EI3157795, EI1588082,EH9108950, EH6944449, EK1693424, EJ8068490,EJ2827917, EJ1291206, EJ0234298, EI8047355,EF2271254, EF2271213, ED7677245, AM7523740,QJ1649335, EI7361336, EI1994405, EH6943524,EH9108992, EH1493673, EG8834053, EF5806023,ED8578574, ED7790907, AN1236784, EK3222743,EJ3475963, EI5951310, EF0585580, EF0426827,EF0077281, EF0077240, EF0077208, ED9339034,EF1446139, EF1274481, EF1274440, EF1096322,EF0746521, EF0746448, EF1959883, EF1786922,EF1786807, EF1618273, EF1446337, EF1446253,EF2437384, EF2270736, EF2156935, EF2156893,EF2156414, EF1959966, EF2824912, EF2824870,EF2824839, EF2629196, EF2629113, EF2437541,EF3603554, EF3417203, EF3417161, EF3220250,EF3220011, EF3023647, EF4382430, EF4019701,EF4019628, EF3784115, EF3603752, EF3603596,EF5311917, EF4955292, EF4705739, EF4705697,EF4705655, EF4382554, EF5891728, EF5891686,EF5891645, EF5639119, EF5638913, EF5312154,EF7233457, EF6887279, EF6886958, EF6638458,EF6638219, EF6240321, EF8231914, EF7918396,EF7918354, EF7566666, EF7233572, EF7233531,EG0536326, EF9388622, EF8634083, EF8633887,EF8633762, EF8232474, EG1116573, EG1115450,EG1115252, EG0824771, EG0824698, EG0536441,EG2557825, EG2222453, EG2222214, EG1857226,EG1857069, EG1429646, EG3915741, EG3387446,EG3386968, EG3013414, EG2557783, EG2557700,EG5752977, EG5206560, EG5206404, EG4653036,EG4296315, EG4296158, EG7308208, EG6830483,EG6067656, EG6067615, EG6067532, EG5753132,EG8684862, EG8209660, EG7763881, EG7763840,EG7762404, EG7309362, EG9534009, EG9533605,EG9532326, EG9090077, EG9089996, EG8685265,EH1282217, EH1001393, EH1001195, EH0541860,EH0541746, EG9981242, EH1850633, EH1631132,EH1630811, EH1433299, EH1284536, EH1284338,EH2537015, EH2300125, EH2072039, EH2071957,EH2071874, EH1850799, EH3000153, EH2999991,EH2999835, EH2803946, EH2803862, EH2538013,EH3949508, EH3717913, EH3717871, EH3493994,EH3491634, EH3246244, EH4673107, EH4455620,EH4455547, EH4202626, EH3950027, EH3949946,EH5278104, EH5106677, EH4865257, EH4865216,EH4865018, EH4673263, EH5654619, EH5654536,EH5654452, EH5437528, EH5437569, EH5278187,EH6269698, EH6124877, EH6124836, EH5984552,EH5984313, EH5836661, EH6703589, EH6559957,EH6559916, EH6414500, EH6269979, EH6269938,EH7174913, EH7017815, EH6834319, EH6834152,EH6834079, EH6703621, EH7508763, EH7508680,EH7508722, EH7338518, EH7338591, EH7174830,EH8146373, EH7974692, EH7974650, EH7830050,EH7830019, EH7663881, EH8670893, EH8504415,EH8504332, EH8341438, EH8146456, EH8146415,EH9187939, EH9016310, EH8845594, EH8845479,EH8845511, EH8671081, EH9526938, EH9526896,EH9526854, EH9357268, EH9357102, EH9187970,EI0201166, EH9991058, EH9990977, EH9826551,EH9826510, EH9659440, EI0652194, EI0652079,EI0499752, EI0499836, EI0334819, EI0201240, EI1051263,EI1051305, EI0939419, EI0817508, EI0819025, EI0817227,EI1574025, EI1404504, EI1404462, EI1404181, EI1238225,EI1237987, EI2084792, EI2084677, EI1964176, EI1964218,EI1796610, EI1796578, EI2556302, EI2556187, EI2417380,EI2417505, EI2269856, EI2084875, EI3084429, EI3084221,EI2821896, EI2684724, EI2684609, EI2684807, EI3505605,EI3348808, EI3348964, EI3349087, EI3209232, EI3209117,EI4078958, EI4078636, EI3969215, EI3969058, EI3836265,EI3836547, EI4547473, EI4547317, EI4397895, EI4397812,EI4251761, EI4078834, EI5092875, EI5092230, EI4838914,EI4693277, EI4693194, EI4692998, EI5335373, EI5335415,EI5335498, EI5236290, EI5236332, EI5230558, EI6019257,EI5865908, EI5865668, EI5663303, EI5663188, EI5489303,EI6480236, EI6321844, EI6321760, EI6169888, EI6019570,EI6019331, EI6946475, EI6788877, EI6619171, EI6619130,EI6619098, EI6480350, EI7415850, EI7283399, EI7283357,EI7283274, EI7089838, EI6946392, EI7908557, EI7908474,EI7764778, EI7764539, EI7608959, EI7608876, EI8314979,EI8171866, EI8170942, EI8170983, EI8046233, EI7908433,EI8764199, EI8610798, EI8454445, EI8454247, EI8454486,EI8315299, EI9056587, EI9056546, EI9056504, EI8906741,EI8906709, EI8764231, EJ0133557, EI9966785,EI9966546, EI9490505, EI9490422, EI9233236,EJ1001985, EJ0516959, EJ0516637, EJ0364830,EJ0134035, EJ0133839, EJ1563380, EJ1561731,EJ1323629, EJ1177066, EJ1176985, EJ1176944,EJ2336794, EJ2165441, EJ2165391, EJ2165243,EJ1957863, EJ1958010, EJ2949281, EJ2756702,EJ2756751, EJ2547663, EJ2547564, EJ2462855,EJ3476110, EJ3315979, EJ3316175, EJ3116724,EJ2949489, EJ2949232, EJ4027714, EJ3855024,EJ3666165, EJ3666116, EJ3666017, EJ3476219,EJ4399220, EJ4399329, EJ4399121, EJ4234971,EJ4234823, EJ4027763, EJ5033869, EJ5033711,EJ4941831, EJ4941732, EJ4766048, EJ4572867,EJ5594712, EJ5594662, EJ5417476, EJ5417229,EJ5237510, EJ5033562, EJ6132546, EJ6132595,EJ5971316, EJ5776632, EJ5776780, EJ5776483,EJ6557346, EJ6556645, EJ6557395, EJ6366714,EJ6366664, EJ6169480, EJ7311685, EJ7128238,EJ7127883, EJ6948115, EJ6948016, EJ6746824,EJ7808367, EJ7644283, EJ7644036, EJ7469616,EJ7312287, EJ7311982, EJ8364741, EJ8139853,EJ7976131, EJ7976180, EJ7976081, EJ7808615,EJ9060793, EJ8813838, EJ8813713, EJ8813655,EJ8605036, EJ8364865, EJ9805080, EJ9805262,EJ9568191, EJ9568498, EJ9306733, EJ9306857,EK0355108, EK3715712, EK0106493, EK0106550,EK0008061, EJ9805023, EK1040204, EK0783226,
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 5
General Active Case List Created On: 8/25/20213:31:45 AM
EK0605452, EK0560863, EK0560749, EK0354986,EK1542886, EK1542944, EK1542829, EK1306373,EK1306316, EK1040808, EK2971555, EK2684448,EK2684265, EK2443423, EK2443126, EK1783969,EK3715654, EK3475416, EK3475358, EK3221067,EK2971373, EK2971670, EK4426970, EK4427218,EK4203676, EK3970036, EK3969855, EK3970150,EK5199345, EK4926896, EK4926839, EK4926714,EK4663424, EK4663242, EK5929519, EK5680286,EK5680229, EK5427860, EK5427928, EK5228409,EK6564695, EK6468541, EK6468301, EK6218235,EK5929337, EK5929451, EK7064505, EK6809363,EK6809421, EK6809306, EK6701263, EK6701149,EK7799829, EK7566327, EK7566269, EK7302343,EK7301501, EK7301147, EK8549934, EK8335144,EK8334964, EK8068943, EK7800064, EK7799647,EK9068074, EK8821077, EK8821135, EK8820954,EK8550718, EK8549991, EK9915159, JV1897661,EK9623944, EK9351454, EK9351512, EK9351330,UV3122990, UV3122776, AF1900436, JK5970625,EK9915332, EK9915274, JK2846885, UV5357511,UV5357487, UV5357529, JV8969703, UV4263777,QJ1649145, JK5850769, QJ0089632, UV8666397,UV8666363, UV7303125, QJ8917289, LW0595741,QJ7131908, QJ7131924, QJ3487601, QJ1649087,JV4743474, LW7213884, JV4743482, JV3732643,JV1897687, JV1897018, JK2846836, JK1069265,JV8969737, JV8969604, JV6956009, JV6955944,JK7575620, LW7215525, JK5850793, JK4418113,JK4417875, LW4208655, LW1901021, LW1900981,LW0595675, JK9039500, JK9039492, QZ1188981,LW7213843, LW7215822, LW4978778, LW4978752,LW3411110, LW1901070, QZ2394307, QZ2394869,QZ0909163, LW9198455, LW9198406, LW9198364,QZ8423167, QZ6735513, QZ5201756, QZ5201640,QZ5201517, QZ3718728, AL9331961, AL3685669,AL1315822, AL1313421, AL1314882, QZ9751384,AL9807721, AL9807705, AL8354568, AL8354543,AL5669695, AL5664852, AM4975406, AM4975422,AM5128104, AM3265882, AM3265783, AM1693556,AN0205111, AN0205061, AM8306665, AM6590542,AM6590039, AM6590021, EJ4362202, EJ2648420,EJ1428477, AN2050226, AN2049715, AN1280170,EJ4237867, EJ4237289, EJ4366054, EJ4237685,EJ4237586, EJ4237917, EJ4237438, EJ4365957,EJ3476466, EJ4251249, EJ4237487, EJ4237339,EJ7976388, EJ7215761, EJ6259208, EJ5418920,EJ4399873, EJ4237768, EK6219019, EK4090958,EK2841527, EK0907775, EK0010166, EJ8937702,LW1349346, JK2019608, QJ8918055, UV3639902,EK9198301, EK7668941, EC5146708, EC4497045,EC3956330, AM5804993, AL3773143, QZ0024781,EC9570507, EC9292359, EC9040154, EC8742388,EC8084914, EC5711360, ED1492674, ED1147112,ED0813060, ED0496429, ED0198751, EC9970996,ED3156087, ED2866231, ED2608963, ED2417407,ED2028915, ED1744421, ED5062986, ED4810526,ED4508369, ED4250616, ED3776405, ED3456362,ED7241091, ED6584467, ED6115783, ED5889156,ED5633182, ED5393076, EF0819823, EF0250771,ED9684579, ED9074086, ED8452838, ED7791228,EF5639598, EF4705812, EF3125186, EF2437863,EF1960287, EF1353624, EG3625951, EG2388569,EG1117134, EF9389224, EF7717897, EF6790135,EH1631330, EH1001518, EG9329293, EG7963085,EG6461578, EG5207162, EH5912546, EH5351745,EH4673461, EH3951421, EH3125422, EH2438370,EH7417783, EH7339433, EH7018177, EH6835233,EH6748568, EH6414823, EH9188093, EH8846592,EH8592105, EH8237479, EH7974775, EH7624214,EI0895843, EI0578019, EI0334850, EH9991215,EH9736255, EH9443316, EI2041032, EI1797410,EI1498324, EI1405345, EI1134705, EI0976072, EI3149339,EI3149255, EI2821979, EI2556542, EI2556468, EI2345805,EI4739674, EI4479958, EI4252124, EI4080079, EI3649163,EI3417074, EI7830090, EI7353879, EI6789396, EI6322560,EI5746967, EI5281619, EJ2648578, EJ1428626,EJ0235931, EI9353034, EI8764397, EI8315893,EJ4261743, EJ4261396, EJ4237735, EJ4262345,EJ4251298, EJ4262691, EJ4261297, EJ4237818,EJ4237537, EJ4381566, EJ4263046, EJ4251447,EJ4263145, EJ4262949, EJ4251397, EJ4262543,EJ4261990, EJ4261644, EJ5418979, EJ4399972,EJ4237636, EJ4381814, EJ4381111, EJ3476516,EK1865618, EK0008301, EJ8937520, EJ7976933,EJ7216611, EJ6260453, JK9040037, JV4454106,UV6085269, EK8822513, EK6701388, EK4555844,ED9982189, ED8881481, ED7514562, ED4508609,AM0045436, QZ3721540, EG0538165, EF7236575,EF4956530, EF3417286, EF2228791, EF1200759,EH4202741, EH2804100, EH1283579, EG8689101,EG5753579, EG3014370, EH9991298, EH8846717,EH7741836, EH7664004, EH6559999, EH5657570,EI6480517, EI5336298, EI4326233, EI3149453, EI2085799,EI0939898, EJ4028316, EJ2756801, EJ1323876,EI9490620, EI8456325, EI7416254, EK4927019,EK1304816, EJ9061098, EJ7808813, EJ6558898,EJ5419027, EC6083322, AM8324775, QZ5202010,JK4639650, UV8666538, EK8069727, EC8455551,EC8084997, EC7471153, EC7046500, EC6738610,EC6462377, ED0960150, ED0409067, EC9998153,EC9646661, EC9211268, EC8844622, ED3156327,ED2746128, ED2437868, ED2155429, ED1667275,ED1326666, ED5633265, ED5239741, ED4898885,ED4508443, ED3979322, ED3561443, ED8842988,ED8081694, ED7514521,
ISIN: MX0MGO0000B2, MX0MGO0000A4,MX0MGO000094, MX0MGO000086, MX0MGO000078,MX0MGO000060, MX0MGO0000H9, MX0MGO0000G1,MX0MGO0000F3, MX0MGO0000E6, MX0MGO0000D8,MX0MGO0000C0, MX0MGO0000O5, MX0MGO0000N7,MX0MGO0000M9, MX0MGO0000L1, MX0MGO0000K3,MX0MGO0000J5, MX0MGO0000U2, MX0MGO0000T4,MX0MGO0000S6, MX0MGO0000R8, MX0MGO0000Q0,MX0MGO0000P2, MX0SGO000023, MX0SGO000015,MX0SGO000007, MX0MGO000102, MX0MGO0000Y4,
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 6
General Active Case List Created On: 8/25/20213:31:45 AM
MX0MGO0000V0, MX0SGO000098, MX0SGO000080,MX0SGO000072, MX0SGO000056, MX0SGO000049,MX0SGO000031, MXBIGO0003R7, MXBIGO0003J4,MX0SGO0000F0, MX0SGO0000E3, MX0SGO0000B9,MX0SGO0000A1, MXBIGO0004C7, MXBIGO0004A1,MXBIGO000477, MXBIGO000469, MXBIGO000451,MXBIGO0003Z0, MXBIGO0004L8, MXBIGO0004K0,MXBIGO0004J2, MXBIGO0004I4, MXBIGO0004F0,MXBIGO0004E3, MXBIGO0004R5, MXBIGO0004Q7,MXBIGO0004P9, MXBIGO0004O2, MXBIGO0004N4,MXBIGO0004M6, MXBIGO0004X3, MXBIGO0004W5,MXBIGO0004V7, MXBIGO0004U9, MXBIGO0004T1,MXBIGO0004S3, MXBIGO000535, MXBIGO000527,MXBIGO000519, MXBIGO000501, MXBIGO0004Z8,MXBIGO0004Y1, MXBIGO000592, MXBIGO000584,MXBIGO000576, MXBIGO000568, MXBIGO000550,MXBIGO000543, MXBIGO0005F7, MXBIGO0005E0,MXBIGO0005D2, MXBIGO0005C4, MXBIGO0005B6,MXBIGO0005A8, MXBIGO0005L5, MXBIGO0005K7,MXBIGO0005J9, MXBIGO0005I1, MXBIGO0005H3,MXBIGO0005G5, MXBIGO0005R2, MXBIGO0005Q4,MXBIGO0005P6, MXBIGO0005O9, MXBIGO0005N1,MXBIGO0005M3, MXBIGO0005X0, MXBIGO0005W2,MXBIGO0005V4, MXBIGO0005U6, MXBIGO0005T8,MXBIGO0005S0, MXBIGO000634, MXBIGO000626,MXBIGO000618, MXBIGO000600, MXBIGO0005Z5,MXBIGO0005Y8, MXBIGO000691, MXBIGO000683,MXBIGO000675, MXBIGO000667, MXBIGO000659,MXBIGO000642, MXBIGO0006F5, MXBIGO0006E8,MXBIGO0006D0, MXBIGO0006C2, MXBIGO0006B4,MXBIGO0006A6, MXBIGO0006N9, MXBIGO0006K5,MXBIGO0006J7, MXBIGO0006I9, MXBIGO0006H1,MXBIGO0006G3, MXBIGO0006T6, MXBIGO0006S8,MXBIGO0006R0, MXBIGO0006Q2, MXBIGO0006P4,MXBIGO0006O7, MXBIGO000717, MXBIGO000709,MXBIGO0006Z3, MXBIGO0006Y6, MXBIGO0006X8,MXBIGO0006V2, MXBIGO000790, MXBIGO000774,MXBIGO000758, MXBIGO000741, MXBIGO000733,MXBIGO000725, MXBIGO0007F3, MXBIGO0007E6,MXBIGO0007D8, MXBIGO0007C0, MXBIGO0007B2,MXBIGO0007A4, MXBIGO0007L1, MXBIGO0007K3,MXBIGO0007J5, MXBIGO0007I7, MXBIGO0007H9,MXBIGO0007G1, MXBIGO0007R8, MXBIGO0007Q0,MXBIGO0007P2, MXBIGO0007O5, MXBIGO0007N7,MXBIGO0007M9, MXBIGO0007X6, MXBIGO0007W8,MXBIGO0007V0, MXBIGO0007U2, MXBIGO0007T4,MXBIGO0007S6, MXBIGO000873, MXBIGO000824,MXBIGO000816, MXBIGO000808, MXBIGO0007Z1,MXBIGO0007Y4, MXBIGO0008D6, MXBIGO0008C8,MXBIGO0008B0, MXBIGO0008A2, MXBIGO000899,MXBIGO000881, MXBIGO0008J3, MXBIGO0008I5,MXBIGO0008H7, MXBIGO0008G9, MXBIGO0008F1,MXBIGO0008E4, MXBIGO0008P0, MXBIGO0008O3,MXBIGO0008N5, MXBIGO0008M7, MXBIGO0008L9,MXBIGO0008K1, MXBIGO0008V8, MXBIGO0008U0,MXBIGO0008T2, MXBIGO0008S4, MXBIGO0008R6,MXBIGO0008Q8, MXBIGO000915, MXBIGO000907,MXBIGO0008Z9, MXBIGO0008Y2, MXBIGO0008X4,MXBIGO0008W6, MXBIGO000972, MXBIGO000964,MXBIGO000956, MXBIGO000949, MXBIGO000931,MXBIGO000923, MXBIGO0009D4, MXBIGO0009C6,MXBIGO0009B8, MXBIGO0009A0, MXBIGO000998,MXBIGO000980, MXBIGO0009J1, MXBIGO0009I3,MXBIGO0009H5, MXBIGO0009G7, MXBIGO0009F9,MXBIGO0009E2, MXBIGO0009P8, MXBIGO0009O1,MXBIGO0009N3, MXBIGO0009M5, MXBIGO0009L7,MXBIGO0009K9, MXBIGO0009V6, MXBIGO0009U8,MXBIGO0009T0, MXBIGO0009S2, MXBIGO0009R4,MXBIGO0009Q6, MXBIGO000A16, MXBIGO000A08,MXBIGO0009Z7, MXBIGO0009Y0, MXBIGO0009X2,MXBIGO0009W4, MXBIGO000A73, MXBIGO000A65,MXBIGO000A57, MXBIGO000A40, MXBIGO000A32,MXBIGO000A24, MXBIGO000AD8, MXBIGO000AC0,MXBIGO000AB2, MXBIGO000AA4, MXBIGO000A99,MXBIGO000A81, MXBIGO000AJ5, MXBIGO000AI7,MXBIGO000AH9, MXBIGO000AG1, MXBIGO000AF3,MXBIGO000AE6, MXBIGO000AQ0, MXBIGO000AP2,MXBIGO000AO5, MXBIGO000AN7, MXBIGO000AM9,MXBIGO000AK3, MXBIGO000AW8, MXBIGO000AV0,MXBIGO000AU2, MXBIGO000AT4, MXBIGO000AS6,MXBIGO000AR8, MXBIGO000B23, MXBIGO000B15,MXBIGO000B07, MXBIGO000AZ1, MXBIGO000AY4,MXBIGO000AX6, MXBIGO000B80, MXBIGO000B72,MXBIGO000B64, MXBIGO000B56, MXBIGO000B49,MXBIGO000B31, MXBIGO000BE4, MXBIGO000BD6,MXBIGO000BC8, MXBIGO000BB0, MXBIGO000BA2,MXBIGO000B98, MXBIGO000BK1, MXBIGO000BJ3,MXBIGO000BI5, MXBIGO000BH7, MXBIGO000BG9,MXBIGO000BF1, MXBIGO000BQ8, MXBIGO000BP0,MXBIGO000BO3, MXBIGO000BN5, MXBIGO000BM7,MXBIGO000BL9, MXBIGO000BW6, MXBIGO000BV8,MXBIGO000BU0, MXBIGO000BT2, MXBIGO000BS4,MXBIGO000BR6, MXBIGO000C22, MXBIGO000C14,MXBIGO000C06, MXBIGO000BZ9, MXBIGO000BY2,MXBIGO000BX4, MXBIGO000C89, MXBIGO000C71,MXBIGO000C63, MXBIGO000C55, MXBIGO000C48,MXBIGO000C30, MXBIGO000CF9, MXBIGO000CE2,MXBIGO000CD4, MXBIGO000CC6, MXBIGO000CB8,MXBIGO000CA0, MXBIGO000CL7, MXBIGO000CK9,MXBIGO000CJ1, MXBIGO000CI3, MXBIGO000CH5,MXBIGO000CG7, MXBIGO000CR4, MXBIGO000CQ6,MXBIGO000CP8, MXBIGO000CO1, MXBIGO000CN3,MXBIGO000CM5, MXBIGO000CX2, MXBIGO000CW4,MXBIGO000CV6, MXBIGO000CU8, MXBIGO000CT0,MXBIGO000CS2, MXBIGO000D39, MXBIGO000D21,MXBIGO000D13, MXBIGO000D05, MXBIGO000CZ7,MXBIGO000CY0, MXBIGO000D96, MXBIGO000D88,MXBIGO000D70, MXBIGO000D62, MXBIGO000D54,MXBIGO000D47, MXBIGO000DF7, MXBIGO000DE0,MXBIGO000DD2, MXBIGO000DC4, MXBIGO000DB6,MXBIGO000DA8, MXBIGO000DL5, MXBIGO000DK7,MXBIGO000DJ9, MXBIGO000DI1, MXBIGO000DH3,MXBIGO000DG5, MXBIGO000DS0, MXBIGO000DR2,MXBIGO000DQ4, MXBIGO000DO9, MXBIGO000DN1,MXBIGO000DM3, MXBIGO000DY8, MXBIGO000DX0,MXBIGO000DW2, MXBIGO000DV4, MXBIGO000DU6,MXBIGO000DT8, MXBIGO000E46, MXBIGO000E38,
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 7
General Active Case List Created On: 8/25/20213:31:45 AM
MXBIGO000E20, MXBIGO000E12, MXBIGO000E04,MXBIGO000DZ5, MXBIGO000EA6, MXBIGO000E95,MXBIGO000E87, MXBIGO000E79, MXBIGO000E61,MXBIGO000E53, MXBIGO000EG3, MXBIGO000EF5,MXBIGO000EE8, MXBIGO000ED0, MXBIGO000EC2,MXBIGO000EB4, MXBIGO000EM1, MXBIGO000EL3,MXBIGO000EK5, MXBIGO000EJ7, MXBIGO000EI9,MXBIGO000EH1, MXBIGO000ES8, MXBIGO000ER0,MXBIGO000EQ2, MXBIGO000EP4, MXBIGO000EO7,MXBIGO000EN9, MXBIGO000EY6, MXBIGO000EX8,MXBIGO000EW0, MXBIGO000EV2, MXBIGO000EU4,MXBIGO000ET6, MXBIGO000F45, MXBIGO000F37,MXBIGO000F29, MXBIGO000F11, MXBIGO000F03,MXBIGO000EZ3, MXBIGO000FA3, MXBIGO000F94,MXBIGO000F86, MXBIGO000F78, MXBIGO000F60,MXBIGO000F52, MXBIGO000FG0, MXBIGO000FF2,MXBIGO000FE5, MXBIGO000FD7, MXBIGO000FC9,MXBIGO000FB1, MXBIGO000FM8, MXBIGO000FL0,MXBIGO000FK2, MXBIGO000FJ4, MXBIGO000FI6,MXBIGO000FH8, MXBIGO000FS5, MXBIGO000FR7,MXBIGO000FQ9, MXBIGO000FP1, MXBIGO000FO4,MXBIGO000FN6, MXBIGO000FY3, MXBIGO000FX5,MXBIGO000FW7, MXBIGO000FV9, MXBIGO000FU1,MXBIGO000FT3, MXBIGO000G44, MXBIGO000G36,MXBIGO000G28, MXBIGO000G10, MXBIGO000G02,MXBIGO000FZ0, MXBIGO000GA1, MXBIGO000G93,MXBIGO000G85, MXBIGO000G77, MXBIGO000G69,MXBIGO000G51, MXBIGO000GG8, MXBIGO000GF0,MXBIGO000GE3, MXBIGO000GD5, MXBIGO000GC7,MXBIGO000GB9, MXBIGO000GM6, MXBIGO000GL8,MXBIGO000GK0, MXBIGO000GJ2, MXBIGO000GI4,MXBIGO000GH6, MXBIGO000GS3, MXBIGO000GR5,MXBIGO000GQ7, MXBIGO000GP9, MXBIGO000GO2,MXBIGO000GN4, MXBIGO000GY1, MXBIGO000GX3,MXBIGO000GW5, MXBIGO000GV7, MXBIGO000GU9,MXBIGO000GT1, MXBIGO000H43, MXBIGO000H35,MXBIGO000H27, MXBIGO000H19, MXBIGO000H01,MXBIGO000GZ8, MXBIGO000HA9, MXBIGO000H92,MXBIGO000H84, MXBIGO000H76, MXBIGO000H68,MXBIGO000H50, MXBIGO000HG6, MXBIGO000HF8,MXBIGO000HE1, MXBIGO000HD3, MXBIGO000HC5,MXBIGO000HB7, MXBIGO000HM4, MXBIGO000HL6,MXBIGO000HK8, MXBIGO000HJ0, MXBIGO000HI2,MXBIGO000HH4, MXBIGO000HS1, MXBIGO000HR3,MXBIGO000HQ5, MXBIGO000HP7, MXBIGO000HO0,MXBIGO000HN2, MXBIGO000HY9, MXBIGO000HX1,MXBIGO000HW3, MXBIGO000HV5, MXBIGO000HU7,MXBIGO000HT9, MXBIGO000I42, MXBIGO000I34,MXBIGO000I26, MXBIGO000I18, MXBIGO000I00,MXBIGO000HZ6, MXBIGO000IA7, MXBIGO000I91,MXBIGO000I83, MXBIGO000I75, MXBIGO000I67,MXBIGO000I59, MXBIGO000IG4, MXBIGO000IF6,MXBIGO000IE9, MXBIGO000ID1, MXBIGO000IC3,MXBIGO000IB5, MXBIGO000IM2, MXBIGO000IL4,MXBIGO000IK6, MXBIGO000IJ8, MXBIGO000II0,MXBIGO000IH2, MXBIGO000IS9, MXBIGO000IR1,MXBIGO000IQ3, MXBIGO000IP5, MXBIGO000IO8,MXBIGO000IN0, MXBIGO000IY7, MXBIGO000IX9,MXBIGO000IW1, MXBIGO000IV3, MXBIGO000IU5,MXBIGO000IT7, MXBIGO000J41, MXBIGO000J33,MXBIGO000J25, MXBIGO000J17, MXBIGO000J09,MXBIGO000IZ4, MXBIGO000JA5, MXBIGO000J90,MXBIGO000J82, MXBIGO000J74, MXBIGO000J66,MXBIGO000J58, MXBIGO000JG2, MXBIGO000JF4,MXBIGO000JE7, MXBIGO000JD9, MXBIGO000JC1,MXBIGO000JB3, MXBIGO000JM0, MXBIGO000JL2,MXBIGO000JK4, MXBIGO000JJ6, MXBIGO000JI8,MXBIGO000JH0, MXBIGO000JS7, MXBIGO000JR9,MXBIGO000JQ1, MXBIGO000JP3, MXBIGO000JO6,MXBIGO000JN8, MXBIGO000JY5, MXBIGO000JX7,MXBIGO000JW9, MXBIGO000JV1, MXBIGO000JU3,MXBIGO000JT5, MXBIGO000K48, MXBIGO000K30,MXBIGO000K22, MXBIGO000K14, MXBIGO000K06,MXBIGO000JZ2, MXBIGO000KA3, MXBIGO000K97,MXBIGO000K89, MXBIGO000K71, MXBIGO000K63,MXBIGO000K55, MXBIGO000KG0, MXBIGO000KF2,MXBIGO000KE5, MXBIGO000KD7, MXBIGO000KC9,MXBIGO000KB1, MXBIGO000KM8, MXBIGO000KL0,MXBIGO000KK2, MXBIGO000KJ4, MXBIGO000KI6,MXBIGO000KH8, MXBIGO000KT3, MXBIGO000KR7,MXBIGO000KQ9, MXBIGO000KP1, MXBIGO000KO4,MXBIGO000KN6, MXBIGO000KZ0, MXBIGO000KY3,MXBIGO000KX5, MXBIGO000KW7, MXBIGO000KV9,MXBIGO000KU1, MXBIGO000L54, MXBIGO000L47,MXBIGO000L39, MXBIGO000L21, MXBIGO000L13,MXBIGO000L05, MXBIGO000LB9, MXBIGO000LA1,MXBIGO000L96, MXBIGO000L88, MXBIGO000L70,MXBIGO000L62, MXBIGO000LH6, MXBIGO000LG8,MXBIGO000LF0, MXBIGO000LE3, MXBIGO000LD5,MXBIGO000LC7, MXIMBP060027, MXIMBP060019,MXIMBP060001, MXBIGO000LK0, MXBIGO000LJ2,MXBIGO000LI4, MXIMBP060084, MXIMBP060076,MXIMBP060068, MXIMBP060050, MXIMBP060043,MXIMBP060035, MXIMBP0600F0, MXIMBP0600E3,MXIMBP0600D5, MXIMBP0600C7, MXIMBP0600B9,MXIMBP0600A1, MXIMBP0600L8, MXIMBP0600K0,MXIMBP0600J2, MXIMBP0600I4, MXIMBP0600H6,MXIMBP0600G8, MXIMBP0600R5, MXIMBP0600Q7,MXIMBP0600P9, MXIMBP0600O2, MXIMBP0600N4,MXIMBP0600M6, MXIMBP0600X3, MXIMBP0600W5,MXIMBP0600V7, MXIMBP0600U9, MXIMBP0600T1,MXIMBP0600S3, MXIPBP0000H2, MXIPBP0000A7,MXIPBP000053, MXIMBP060100, MXIMBP0600Z8,MXIMBP0600Y1, MXIPBP000103, MXIPBP0000Z4,MXIPBP0000Y7, MXIPBP0000X9, MXIPBP0000W1,MXIPBP0000M2, MXIPBP000160, MXIPBP000152,MXIPBP000145, MXIPBP000137, MXIPBP000129,MXIPBP000111, MXIPBP0001C1, MXIPBP0001B3,MXIPBP0001A5, MXIPBP000194, MXIPBP000186,MXIPBP000178, MXIPBP0001I8, MXIPBP0001H0,MXIPBP0001G2, MXIPBP0001F4, MXIPBP0001E7,MXIPBP0001D9, MXI
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 8
General Active Case List Created On: 8/25/20213:31:45 AM
28 TAL Education Group
Ticker: XRS
CUSIP: 874080104
ISIN: US8740801043
$7,500,000.00 11/30/2021 05/31/2016 09/10/2018
29 Evoqua Water Technologies Corp.
Ticker: AQUA
CUSIP: 30057T105
ISIN: US30057T1051
$16,650,000.00 12/03/2021 11/01/2017 05/28/2021
30 Allied Nevada Gold Corp. (n/k/a Hycroft MiningCorporation) (Canada)
Ticker: HYCT, ANV
CUSIP: 448629105, 019344100
ISIN: US4486291051, US0193441005
$4,375,000.00 12/04/2021 05/08/2013 08/07/2013
31 Teligent, Inc.
Ticker: TLGT
CUSIP: 87960W203, 87960W104, 452534100
ISIN: US87960W2035, US87960W1045, US4525341008
$6,000,000.00 12/07/2021 03/07/2017 02/02/2018
32 TreeHouse Foods, Inc.
Ticker: THS
CUSIP: 89469A104
ISIN: US89469A1043
$27,000,000.00 12/15/2021 01/19/2016 11/02/2016
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 9
New Class Actions
New Class ActionsAll new class actions with Lead Plaintiff Deadline or potential as special cases (opt-outs)
Confidential Attorney-Client Communication
*Cases highlighted in blue represent cases that have been added, or updated to this report since the last mailing.
General Active Case List Created On: 8/25/20213:31:45 AM
Sr. # Flag * Company Lead PlaintiffDeadline
Start of ClassPeriod
End of ClassPeriod Case Status
1 Bayer AG (Germany) (Robbins Geller Rudman &Dowd)
Ticker: BAYN
CUSIP: D0712D163
ISIN: DE000BAY0017
01/31/2022 05/22/2016 04/26/2019
2 Folli Follie SA (Greece) (Kyros Law)
Ticker: FLLIY, FFGRP
CUSIP: X29442146, X1890Z115, L3439VAA1, L3439RAA0,344336102
ISIN: XS1082775054, US3443361023, GRS294003009,CH0385518052
03/31/2023 03/30/2013 05/25/2018 On behalf of all persons and/or
entities who purchased Folli Follie
SA securities prior to May 25, 2018
3 Rocket Companies, Inc.
Ticker: RKT
CUSIP: 77311W101
ISIN: US77311W1018
08/30/2021 02/25/2021 05/05/2021
4 Rekor Systems, Inc. f/k/a Novume Solutions, Inc.
Ticker: REKR
CUSIP: 759419104
ISIN: US7594191048
08/30/2021 04/12/2019 05/25/2021
5 Daimler AG (Germany) (Robbins Geller Rudman &Dowd)
Ticker: DAI
CUSIP: D1668R271, D1668R123
ISIN: DE000A0LR9K1, DE0007100000
08/31/2021 07/10/2012 06/11/2018
6 Daimler AG (Germany) (DRRT/Therium)
Ticker: DDAIF, DAI
CUSIP: D1668R271, D1668R123
ISIN: DE000A0LR9K1, DE0007100000
08/31/2021 07/10/2012 12/31/2018
7 DraftKings Inc. f/k/a Diamond Eagle AcquisitionCorp.
Ticker: DKNG
CUSIP: 26142R104
ISIN: US26142R1041
08/31/2021 12/23/2019 06/15/2021
8 CarLotz, Inc.
Ticker: LOTZW, LOTZ
CUSIP: 142552116, 142552108
ISIN: US1425521168, US1425521085
09/06/2021 12/30/2020 05/25/2021
9 Didi Global, Inc. (C.D.Cal.)
Ticker: DIDI
CUSIP: 23292E108
ISIN: US23292E1082
09/07/2021 06/30/2021 07/21/2021
10 Orphazyme A/S
Ticker: ORPH
CUSIP: 687305102
ISIN: US6873051022
09/07/2021 09/29/2020 06/18/2021
11 James River Group Holdings, Ltd.
Ticker: JRVR
CUSIP: G5005R107
ISIN: BMG5005R1079
09/07/2021 08/01/2019 05/05/2021
12 Didi Global, Inc. (S.D.N.Y.)
Ticker: DIDI
CUSIP: 23292E108
ISIN: US23292E1082
09/07/2021 06/30/2021 07/21/2021
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
General Active Case List Created On: 8/25/20213:31:45 AM
13 Standard Chartered Plc (United Kingdom)
Ticker: STAN
CUSIP: G84228157
ISIN: GB0004082847
09/10/2021 TBD TBD Published Information ClaimOn
behalf of shareholders that held
Standard Chartered Plc ("SC PLC")
shares at market close on at least
one of the following dates:29
October 2014; 18 September 2015;
22 April 2016; 29 April 2016; 26
September 2016; 28 August 2018;
28 September 2018; 5 October
2018; 19 July 2019; or 18
September 2020.Prospectus
ClaimOn behalf of shareholders
that purchased SC PLC shares to
which the SC PLC November 2015
rights issue prospectus applied and
held at least some of those shares
through to at least 22 April 201614 Kanzhun Limited
Ticker: BZ
CUSIP: 48553T106
ISIN: US48553T1060
09/10/2021 06/11/2021 07/02/2021
15 Full Truck Alliance Co., Ltd.
Ticker: YMM
CUSIP: 35969L108
ISIN: US35969L1089
09/10/2021 TBD TBD On behalf of persons who
purchased or otherwise acquired
Full Truck Alliance Co. Ltd.'s ("FTA"
or the "Company") securities
pursuant and/or traceable to the
registration statement and related
prospectus (collectively, the
"Registration Statement") issued in
connection with FTA's June 2021
initial public offering (the "IPO" or
"Offering")16 Stable Road Acquisition Corp.
Ticker: SRACW, SRACU, SRAC
CUSIP: 85236Q208, 85236Q117, 85236Q109
ISIN: US85236Q2084, US85236Q1177, US85236Q1094
09/13/2021 10/07/2020 07/13/2021
17 360 DigiTech, Inc.
Ticker: QFIN
CUSIP: 88557W101
ISIN: US88557W1018
09/13/2021 04/30/2020 07/07/2021
18 RenovaCare, Inc.
Ticker: RCAR
CUSIP: 96253X109, 75988J106, 023781107
ISIN: US96253X1090, US75988J1060, US0237811072
09/14/2021 08/14/2017 05/28/2021
19 Kansai Electric Power Company (Japan)
Ticker: 9503
CUSIP: J30169106
ISIN: JP3228600007
09/17/2021 06/01/2010 03/15/2020
20 BlueCity Holdings Limited (E.D.N.Y.)
Ticker: BLCT
CUSIP: 09610L106
ISIN: US09610L1061
09/17/2021 TBD TBD On behalf of all persons and
entities who purchased or
otherwise acquired BlueCity
Holdings Limited ("BlueCity" or the
"Company") American Depository
Shares ("ADSs") pursuant and/or
traceable to the Offering
Documents issued in connection
with the Company's initial public
offering conducted on or about July
8, 2020 (the "IPO" or the "Offering")
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 2
General Active Case List Created On: 8/25/20213:31:45 AM
21 Coinbase Global, Inc.
Ticker: COIN
CUSIP: 19260Q107
ISIN: US19260Q1076
09/20/2021 TBD TBD On on behalf of all persons and
entities that purchased or otherwise
acquired Coinbase Global, Inc.
("Coinbase" or the "Company")
Class A common stock pursuant
and/or traceable to the Company's
registration statement and
prospectus (collectively, the
"Offering Materials") for the resale
of up to 114,850,769 shares of its
Class A common stock, whereby
Coinbase began trading as a public
company on or around April 14,
2021 (the "Offering")22 CorMedix Inc. (2021)
Ticker: CRMD
CUSIP: 21900C308
ISIN: US21900C3088
09/20/2021 07/08/2020 05/13/2021
23 Piedmont Lithium Inc. f/k/a/ Piedmont LithiumLimited
Ticker: PLL
CUSIP: U7202S106, 72016P105
ISIN: US72016P1057, AU000000PLL5
09/21/2021 03/16/2018 07/19/2021
24 Oatly Group AB
Ticker: OTLY
CUSIP: 67421J108
ISIN: US67421J1088
09/24/2021 05/20/2021 07/15/2021
25 Concho Resources Inc.
Ticker: CXO
CUSIP: 20605P101
ISIN: US20605P1012
09/28/2021 02/21/2018 07/31/2019
26 Ardelyx, Inc.
Ticker: ARDX
CUSIP: 039697107
ISIN: US0396971071
09/28/2021 08/06/2020 07/19/2021
27 Vale S.A. (2019) (Brazil) (DRRT/Therium)
Ticker: VALE5, VALE3
CUSIP: P9661Q155, P9661Q148
ISIN: BRVALEACNPA3, BRVALEACNOR0
09/30/2021 11/16/2015 07/03/2019
28 Daimler AG (Germany) (Rotter Rechtsanwaelte)
Ticker: DAI, DDAIF
CUSIP: D1668R271, D1668R123
ISIN: DE000A0LR9K1, DE0007100000
09/30/2021 09/26/2015 06/11/2018
29 Wirecard AG (Germany) (EY) (Quinn Emanuel)(Omni Bridgeway)
Ticker: WDI
CUSIP: 750892903, D22359133
ISIN: DE0007472060
09/30/2021 04/05/2017 06/17/2020
30 Iterum Therapeutics plc
Ticker: ITRM
CUSIP: G6333L101
ISIN: IE00BF3W0Q35
10/04/2021 11/30/2020 07/23/2021
31 Zymergen, Inc.
Ticker: ZY
CUSIP: 98985X100
ISIN: US98985X1000
10/04/2021 TBD TBD On behalf of persons and entities
who purchased or otherwise
acquired Zymergen Inc.
("Zymergen" or the "Company")
common stock pursuant and/or
traceable to the registration
statement and prospectus
(collectively, the "Registration
Statement") issued in connection
with the Company's April 2021
initial public offering ("IPO" or the
"Offering")
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 3
General Active Case List Created On: 8/25/20213:31:45 AM
32 Activision Blizzard, Inc. (2021)
Ticker: ATVI
CUSIP: 00507V109
ISIN: US00507V1098
10/04/2021 08/04/2016 07/27/2021
33 Live Ventures Incorporated (2021)
Ticker: LIVE
CUSIP: 75968E101, 538142308
ISIN: US75968E1010, US5381443044, US5381423087
10/12/2021 12/28/2016 08/03/2021
34 Yalla Group Limited
Ticker: YALA
CUSIP: 98459U103
ISIN: US98459U1034
10/12/2021 09/30/2020 08/09/2021
35 SelectQuote, Inc.
Ticker: SLQT
CUSIP: 816307300
ISIN: US8163073005
10/15/2021 02/08/2021 05/11/2021
36 Koninklijke Philips N.V.
Ticker: PHG
CUSIP: 500472303
ISIN: US5004723038
10/15/2021 02/25/2020 06/11/2021
37 ATI Physical Therapy, Inc.
Ticker: FAII, ATIP
CUSIP: 349642108, 00216W109
ISIN: US3496421088, US00216W1099
10/15/2021 04/01/2021 07/23/2021
38 View, Inc.
Ticker: VIEW
CUSIP: 92671V106
ISIN: US92671V1061
10/18/2021 11/30/2020 08/16/2021
39 Annovis Bio, Inc.
Ticker: ANVS
CUSIP: 03615A108
ISIN: US03615A1088
10/18/2021 05/21/2021 07/28/2021
40 Sesen Bio, Inc.
Ticker: SESN
CUSIP: 817763105
ISIN: US8177631053
10/18/2021 12/21/2020 08/17/2021
41 PayPal Holdings, Inc. (2021)
Ticker: PYPL
CUSIP: 70450Y103
ISIN: US70450Y1038
10/19/2021 02/09/2017 07/28/2021
42 Daimler AG (Germany) (Omni Bridgeway)
Ticker: DAI
CUSIP:
ISIN: DE0007100000
10/29/2021 01/01/2012 10/19/2018
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 4
General Active Case List Created On: 8/25/20213:31:45 AM
43 Volkswagen AG Bonds (2021) (Germany) 10/31/2021 01/01/2012 09/22/2015
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 5
General Active Case List Created On: 8/25/20213:31:45 AM
Ticker: VWB2, 096891334, 096891326
CUSIP: FDSC63F28, FDS0N91K7, FDS0F0JV2,FDS0ERVW8, FDS0EPO83, FDS0EPO34, FDS0EOWX2,FDS0AU488, Y9383XAC2, Y9383XAB4, Y9383XAA6,Y93802HP7, Y93802HN2, Y93802GP8, Y93802ER6,Y93802EQ8, Y93802EH8, Y93802EG0, Y93802BF5,Y93802BE8, Y5377JAK1, X56547AB2, X4S421AC7,X4S421AB9, X4S421AA1, W7T6AZAA5, W7T69ZAF6,W7T69ZAE9, W7T69ZAD1, W7T69ZAC3, W7610UEZ4,W7610UEY7, W7610UEW1, W7610UEV3, W7610UEU5,W7610UET8, W7610UES0, W7610UER2, W7610UEQ4,W7610UEP6, W7610UEM3, W7610UEL5, W7610UEH4,W7610UEG6, W7610UED3, W7610UDZ5, W7610UDR3,W7610UDP7, W7610UDN2, W7610UDM4, W7610UDD4,W7610UDC6, W7610UCZ6, W7610UCQ6, W7610UCP8,W7610UCN3, W7610UCM5, W7610UCD5, W7610UBP9,W7610UBN4, W7610UBM6, W7610UBL8, W7610UBK0,W7610UBJ3, W7610UBH7, W7610UBG9, W7610UBF1,W7610UBB0, W7610UAZ8, W7610UAY1, W7610UAU9,W7610UAR6, U9T42AAA2, U9300MAC0, U9291NAR6,U9291NAQ8, U9291NAP0, U9291NAM7, U9291NAL9,U9291NAH8, U9291NAD7, U9291NAB1, U9273AAH8,U9273AAG0, U9273AAF2, U9273AAE5, U9273AAD7,U9273AAC9, U9273AAB1, U9273AAA3, Q9T89AJF1,Q9T89AHN6, Q9489AAE0, Q9489AAD2, Q9489AAC4,Q9489AAB6, Q9489AAA8, Q94829AD2, Q94829AA8,Q94828AE2, Q94828AD4, Q9460SAA2, P9804VVW0,P9804VTG8, P9804VRK1, P9804VPG2, P9804VLY7,P9804VKK8, P9804VHF3, P9804VGE7, P9804VAC7,P9804VAB9, P9804VAA1, P98049AA0, P98048AB0,P98048AA2, N9T99JBQ7, N9T99JBP9, N9T99JBN4,N9T99JBM6, N9T99JBK0, N9T99JBJ3, N9T99JBH7,N9T99JBG9, N9T99JBF1, N9T99JBE4, N9T99JBD6,N9T99JBC8, N9T99JBB0, N9T99JBA2, N9T99JAY1,N9T99JAX3, N9T99JAW5, N9T99JAV7, N9T99JAU9,N9T99JAS4, N9T99JAR6, N9T99JAQ8, N9T99JAM7,N9T99JAL9, N9T99JAK1, N93969AA6, N9373NHR8,N9373NHQ0, N9373NHP2, N9373NHN7, N9373NHM9,N9373NHL1, N9373NHJ6, N9373NHH0, N9373NHG2,N9373NHF4, N9373NHE7, N9373NHD9, N9373NHC1,N9373NHB3, N9373NHA5, N9373NGZ1, N9373NGY4,N9373NGT5, N9373NGS7, N9373NGQ1, N9373NGP3,N9373NGN8, N9373NGM0, N9373NGK4, N9373NGD0,N9373NFW9, N9373NFV1, N9373NFU3, N9373NFQ2,N9373NFP4, N9373NCB8, N9373NCA0, N9373NAT1,N9373NAS3, N93698EN9, N93698EM1, N93698EJ8,N93698EG4, N93698EE9, N93698EC3, N93698EB5,N93698DK6, N93695SR1, N93695SQ3, N93695SP5,N93695SN0, N93695SM2, N93695SL4, N93695SK6,N93695SJ9, N93695SH3, N93695EC9, N93695EB1,N93695EA3, N93695DZ9, N93695DY2, N93695DW6,N93695DV8, N93695DU0, N93695DS5, N93695DR7,N93695DP1, N93695DN6, N93695DK2, N93695DJ5,N93695DH9, N93695DG1, N93695DF3, N93695DE6,N93695DD8, N93695DA4, N93695CZ0, N93695CY3,N93695CX5, N93695CU1, N93695CT4, N93695CS6,N93695CQ0, N93695CP2, N93695CN7, N93695CM9,N93695CL1, N93695CK3, N93695CJ6, N93695CH0,N93695CG2, N93695CE7, N93695CD9, N93695CC1,N9368PNM4, N9368PNL6, N9368PNF9, N9368PNE2,N9368PNA0, N9368PMZ6, N9368PMY9, N9368PMV5,N9368PMU7, N9368PMS2, N9368PMQ6, N9368PMP8,N9368PMH6, N9368PMF0, N9368PMD5, N9368PLV6,N9368PLU8, N9368PLT1, N9368PLS3, N9368PLR5,N9368PLK0, N9368PLJ3, N9368PLH7, N9368PLG9,N9368PKX3, N9368PKV7, N9368PKU9, N9368PKT2,N9368PKS4, N9368PKP0, N9368PKD7, N9368PJY3,N9368PJX5, N9368PJW7, N9368PJT4, N9368PJS6,N9368PJQ0, N9368PJP2, N9368PJN7, N9368PJM9,N9368PJL1, N9368PJJ6, N9368PJH0, N9368PJG2,N9368PJD9, N9368PJB3, N9368PJA5, N9368PHZ2,N9368PHY5, N9368PHX7, N9368PHW9, N9368PHV1,N9368PHU3, N9368PHT6, N9368PHM1, N9368PHA7,N9368PGT7, N9368PGM2, N64278AA7, J9467DAH1,J9467DAG3, J9467DAF5, J9467DAE8, J9467DAD0,J9467DAC2, J9467DAB4, J9467DAA6, J9467CAC4,J9467CAB6, J9467CAA8, J9467BAB8, J9467AAC8,J9467AAB0, J9467AAA2, J94679AP2, J94679AN7,J94679AM9, J94679AL1, J94679AK3, J94679AJ6,J94679AH0, J94679AG2, J94679AF4, J94679AE7,J94679AD9, J94679AC1, J94679AB3, J94679AA5,G5789MAA8, FDSFA2198, FDSF9DCD5, FDSF99427,FDSF8F8B0, FDSF8E0E5, FDSF8DF27, FDSF8DEE2,FDSF8C7F9, FDSF77C32, FDSF4E017, FDSF40B07,FDSF40AF5, FDSF3BA05, FDSF38AF9, FDSF33145,FDSF33137, FDSF2DF56, FDSF05028, FDSEE1F29,FDSECE0E3, FDSECE0D5, FDSEC8204, FDSEC7D20,FDSEB5474, FDSE4B3B1, FDSE4B388, FDSDEFAA7,FDSDEB2D9, FDSD244F1, FDSD19DB0, FDSD158E8,FDSD0D9B7, FDSD02152, FDSCF97C2, FDSCDFAF9,FDSCC58A6, FDSCC3159, FDSCC3142, FDSCA0FF0,FDSC6EC76, FDSC58DD6, FDSC56F30, FDSC56E80,FDSC56DA6, FDSC54874, FDSC420B8, FDSC3FFA6,FDS0GC3O8, FDS0F84U3, FDS0E6ON2, FDS0E6OM4,FDS0DHRP1, FDS0DERP8, FDS0DERL7, FDS0CLWT9,FDS0C5NF4, FDS0BXHY0, FDS0APVE6, FDS0AE7V0,FDS09M397, FDS09LI44, FDS07SGY7, FDS07F2M6,FDS07B5M2, FDS06FIS7, FDS067Q15, FDS05ELK4,FDS04JM72, FDS04HVI2, FDS04EUC3, FDS048PO6,FDS03U3B0, FDS03AV56, FDS039EG4, FDS033EI3,FDS02XY05, FDS02VNA9, FDS02I0Z8, FDS02FZW3,FDS01Y944, FDS01E8M9, FDS00QEL8, FDS00PYT1,FDS00PXO3, D9T70SAK5, D9T70SAH2, D9T70CBB9,D9T70CBA1, D9T70CAV6, D9T70CAU8, D9T70CAT1,D9T70CAR5, D9T70CAP9, D9T70CAD6, D9T69MAC9,D9T695AB8, D9T695AA0, D9T638GQ9, D9T638GP1,D9T638GN6, D9T638GL0, D9T638GF3, D9T638EQ1,D9T638EP3, D9T638EM0, D9T547AA3, D94695AF6,D94695AC3, D94695AB5, D9452WGB9, D9452WES4,D9452WER6, D9452WEL9, D9452WEH8, D9452WEF2,D9452WEE5, D9452WEB1, D9452WDQ9, D9452WDJ5,D9452WDC0, D9452WDA4, D9452WCQ0, D9452WCH0,D9452WCF4, D9452WBQ1, D9452WAQ2, D9452RGY0,D9452RGV6, D9452RGU8, D9452RGT1, D9452RGL8,D9452RGK0, D9452RGF1, D9452RGC8, D9452RFW5,D9452RFV7, D9452RFS4, D9452RFR6, D9452RFN5,
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 6
General Active Case List Created On: 8/25/20213:31:45 AM
D9452RFM7, D9452RFL9, D9452RFB1, D9452REJ5,D9452REH9, D9452RDJ6, D9452RDD9, D9452RDB3,D9452RCV0, D9452RCS7, D9452RCN8, D9452RCH1,D9452RCG3, D9452RBZ2, D9452RBH2, D9452RBE9,D9452RBD1, D9452RBC3, D9452RBB5, D9452R100,D9452KDP7, D9452KDM4, D9452KDJ1, D9452KDH5,D9452KDD4, D9452KDB8, D9452KCZ6, D9452KCY9,D9452KCX1, D9452KCW3, D9452KCV5, D9452KCU7,D9452KCR4, D9452KCQ6, D6003BBW4, D6003BBV6,D6003BBU8, D6003BBK0, D6003BBJ3, D6003BBH7,D6003BBG9, D6003BBF1, D6003BAT2, D6003BAR6,D52715AC9, D52715AB1, D52715AA3, D51716AQ7,D51716AP9, D51716AN4, D51716AM6, D51716AL8,D51716AK0, D51716AJ3, D51716AH7, D51716AG9,D51716AF1, D51716AD6, D51716AC8, D51716AB0,D51716AA2, D2553KNJ3, D2553KNC8, D2553KLJ5,D2553KKB3, D2553KHG6, D2553KHD3, D2553KHB7,D2553KGL6, D2553KGK8, D2553KGD4, D2553KFZ6,D2553KFY9, D2553KFG8, D2553KEY0, D2553KEX2,D2553KEU8, D2553KEB0, D2553KDW5, D2553KDT2,D2553KDG0, D2553KDD7, D2553KDC9, D2553KCL0,D2553KCK2, D2553KCA4, D2553KAV0, D2553KAU2,D2553KAT5, D2553KAS7, D2553KAR9, C9725DAD5,C9725DAC7, C9725DAB9, C9707LAA5, B7T029AL4,928670AV0, U9291NAK1, U9273AAM7, U9273AAL9,U9273AAK1, U9273AAJ4, N9373NHK3, N93695BM0,N93695BL2, 928670AZ1, 928670AY4, 928670AX6,928670AW8, 928670AT5, 928670AR9, 928670AP3,928670AM0, 928670AL2, 928670AK4, 928670AJ7,928670AH1, 928670AG3, 928670AF5, 928670AE8,928670AD0, 928670AC2, 928670AB4, 928668AM4,928668AL6, 928668AK8, 928668AJ1, 928668AH5,928668AG7, 928668AF9, 928668AE2, 928668AD4,928668AC6, 928668AB8, 928668AA0, 918423AN4,918423AM6, 918423AL8, 918423AK0, 918423AJ3,918423AH7, 918423AG9, 918423AF1, 918423AE4,918423AD6, 918423AC8, 918423AB0
ISIN: XS0536053894, XS0519138845, XS0512494021,XS0487455551, US92866YXC47, US92866YXA80,US92866YWZ41, US92866YVW29, US92866YVB81,US92866YRP24, US92866YRA54, US92866YPV10,TRSVDTFA1412, SG7C42925483, SG7B00923497,XS1292401210, XS1288967166, XS1280780534,XS1278882052, XS1273542867, XS1273507100,XS1261823170, XS1258453981, XS1254457218,XS1253934977, XS1235144596, XS1224925088,XS1221824367, XS1219421861, XS1218804232,XS1216647716, XS1216646825, XS1210301369,XS1206541366, XS1206540806, XS1202913940,XS1202801715, XS1189764282, XS1175812921,XS1174215209, XS1172224625, XS1171526269,XS1171501353, XS1167667283, XS1167644407,XS1167637294, XS1166332996, XS1151713994,XS1147739210, XS1147738758, XS1140438000,XS1139232372, XS1139232299, XS1139231721,XS1138685380, XS1133402070, XS1117998739,XS1109375805, XS1107805670, XS1103451941,XS1102356588, XS1101833991, XS1100985966,XS1100048187, XS1098413070, XS1097766536,XS1082890663, XS1082029049, XS1076008256,XS1072481374, XS1071757097, XS1070709826,XS1070082687, XS1070075392, XS1070074668,XS1070074312, XS1066883205, XS1066467678,XS1065067289, XS1057486471, XS1056555250,XS1056047696, XS1055786013, XS1055570516,XS1055497769, XS1055445966, XS1055178823,XS1054089609, XS1052676654, XS1051857156,XS1050917373, XS1050916649, XS1048428442,XS1048428012, XS1038784119, XS1031018911,XS1026932050, XS1026146156, XS1023649962,XS1023327924, XS1019327029, XS1019326302,XS1017618783, XS1016801422, XS1014610254,XS0998277932, XS0998177710, XS0997892046,XS0996711817, XS0996594676, XS0995841904,XS0995840252, XS0995839833, XS0995839080,XS0990525627, XS0973080046, XS0972992779,XS0972798531, XS0971584445, XS0969843241,XS0969667418, XS0969661056, XS0968913342,XS0968913268, XS0965051328, XS0964659394,XS0963566921, XS0963311427, XS0962802111,XS0962230644, XS0953305173, XS0953294468,XS0952921947, XS0952773140, XS0951936763,XS0946789517, XS0944710366, XS0940439564,XS0938994406, XS0937167954, XS0936202836,XS0935312305, XS0934153452, XS0934107698,XS0933173352, XS0932053167, XS0931691157,XS0929008604, XS0928445799, XS0927639780,XS0927517911, XS0916246050, XS0914669378,XS0914313944, XS0912615027, XS0912109161,XS0912081998, XS0911713500, XS0911388832,XS0910539427, XS0910489904, XS0909788290,XS0909787300, XS0909328709, XS0909324039,XS0908808966, XS0908801441, XS0908570459,XS0895502978, XS0876769513, XS0873793375,XS0873254741, XS0873252968, XS0861574977,XS0860999936, XS0860990802, XS0858633398,XS0858154312, XS0857055122, XS0857054745,XS0857054232, XS0857050834, XS0854930608,XS0854388245, XS0853730991, XS0849816482,XS0839485314, XS0834399478, XS0831936629,XS0831724520, XS0831383194, XS0828736198,XS0827587550, XS0823975585, XS0820961083,XS0820948650, XS0820563608, XS0819413351,XS0819322123, XS0818948928, XS0818943887,XS0818895038, XS0818662529, XS0818533803,XS0818533712, XS0818040874, XS0817624066,XS0816711252, XS0816371305, XS0813108585,XS0805197372, XS0805131603, XS0804777679,XS0804650173, XS0804482015, XS0804468295,XS0804336039, XS0801654392, XS0801630020,XS0800169996, XS0795885630, XS0795838555,XS0794582014, XS0794238583, XS0788624244,XS0786946292, XS0784931353, XS0784929704,XS0784911835, XS0784809393, XS0783852600,XS0783532103, XS0783530156, XS0783277402,XS0782708456, XS0781570543, XS0780249842,
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 7
General Active Case List Created On: 8/25/20213:31:45 AM
XS0766377179, XS0765597918, XS0763747838,XS0763676714, XS0763676557, XS0763676045,XS0760245539, XS0756457833, XS0746391274,XS0746390896, XS0744034926, XS0743905282,XS0743899709, XS0741981806, XS0736534446,XS0732930226, XS0731681556, XS0731679907,XS0705679891, XS0703915545, XS0702452995,XS0702340505, XS0692710907, XS0692553885,XS0691439110, XS0690082754, XS0686461384,XS0686458240, XS0683640865, XS0679592211,XS0675922800, XS0673459599, XS0673458864,XS0671005907, XS0660530675, XS0649203915,XS0646459197, XS0645291294, XS0642343155,XS0641933097, XS0639780195, XS0639003465,XS0638115054, XS0637801118, XS0634238157,XS0633111207, XS0633111116, XS0631008389,XS0628640871, XS0628622622, XS0626091507,XS0625369854, XS0625369185, XS0625301543,XS0624856554, XS0617954721, XS0617407241,XS0617259030, XS0616774617, XS0614919701,XS0614919370, XS0613281061, XS0611872432,XS0611871624, XS0611699546, XS0611686642,XS0607808200, XS0592287816, XS0587552570,XS0586558131, XS0584413768, XS0584410822,XS0584384308, XS0583060370, XS0582753447,XS0580430444, XS0580149747, XS0578404047,XS0576107519, XS0569904377, XS0569525438,XS0559825467, XS0559766356, XS0550861685,XS0548554434, XS0548137917, XS0547927789,XS0546701680, XS0546154005, XS0545169673,XS0544057820, XS0542991418, XS0540798690,XS0540791414, XS0540617650, XS0539499326,XS0538727867, XS0536244485, XS0536218307,XS0536184301, XS0527819493, XS0525697370,XS0524082616, XS0520522201, XS0516543153,XS0508807293, XS0501685498, XS0500979942,XS0500925424, XS0495249608, XS0491809934,XS0491800040, XS0490105326, XS0487769068,XS0487286261, XS0482656005, XS0473570553,XS0470518605, XS0459999982, XS0458829008,XS0453467069, XS0452823924, XS0452320426,XS0451160690, XS0449918530, XS0449248383,XS0449046167, XS0446414376, XS0439236331,XS0438750431, XS0434170378, XS0430981521,XS0429612566, XS0429607640, XS0428037583,XS0428037401, XS0422082304, XS0421105825,XS0414318229, XS0412447632, XS0412443052,XS0411556045, XS0408223138, XS0400325097,XS0388366923, XS0382057817, XS0376001219,XS0372210400, XS0372182351, XS0371956938,XS0371067470, XS0369525125, XS0363479618,XS0360933666, XS0360933583, XS0359377578,XS0353944944, XS0346920332, XS0343538830,XS0341950995, XS0331245976, XS0331245620,XS0325760444, XS0312856403, XS0305080177,XS0292206546, XS0282196954, XS0275638137,XS0257806801, XS0255269291, XS0246359532,XS0245129597, XS0237497002, XS0223443747,XS0215087130, XS0206800590, XS0198539347,XS0198019340, XS0196576804, XS0193333613,XS0181879650, XS0178816046, XS0176835949,XS0176582475, XS0176265071, XS0175737997,XS0168882495, XS0168881760, XS0160991989,XS0142019479, XS0139254295, XS0139132269,USU9291NAK10, USU9273AAM72, USU9273AAL99,USU9273AAK17, USU9273AAJ44, USN9373NHK39,USN93695BM06, USN93695BL23, US928670AZ18,US928670AY43, US928670AX69, US928670AW86,US928670AT57, US928670AR91, US928670AP36,US928670AM05, US928670AL22, US928670AK49,US928670AJ75, US928670AH10, US928670AG37,US928670AF53, US928670AE88, US928670AD06,US928670AC23, US928670AB40, US928668AM41,US928668AL67, US928668AK84, US928668AJ12,US928668AH55, US928668AG72, US928668AF99,US928668AE25, US928668AD42, US928668AC68,US928668AB85, US928668AA03, SE0001449448,SE0001374687, SE0001107012, RU000A0JUWR1,RU000A0JUWM2, RU000A0JUPP9, MX94VW020039,MX94VW020013, MX94VW020005, MX91VW0100A9,MX91VW010090, MX91VW010082, MX91VW010074,MX91VW010066, MX91VW010058, MX91VW010041,MX91VW010033, MX91VW010025, MX91VW010017,MX91VW010009, KR6203541547, KR62035414B0,KR6203541471, INE851M07093, INE851M07085,INE851M07077, INE851M07069, INE851M07051,INE851M07044, INE851M07036, INE851M07028,INE851M07010, DE000A1ZK3M0, DE000A1VCT11,DE000A1HQ7L9, DE000A1HCC91, DE000A1HCC83,DE000A1ALV03, DE0008107921, CZ0003501199,CH0049633255, CA918423AN49, CA918423AM65,CA918423AL82, CA918423AK00, CA918423AJ37,CA918423AH70, CA918423AG97, CA918423AF15,CA918423AE40, CA918423AD66, CA918423AC83,CA918423AB01, AU3CB0231868, AU3CB0225472,AU3CB0220028, AU3CB0202760, AU3CB0195964,AU3CB0187169, AU3CB0186260, AU3CB0179109,AU3CB0168912, AU3CB0165769, AU3CB0157394,AU3CB0146256, AU3CB0136059, AU3CB0117778
44 BT Group plc (United Kingdom) (Slater & Gordon) Non-US
Ticker: BTGOF
CUSIP: G16612106
ISIN: GB0030913577
11/01/2021 05/05/2016 01/27/2017
*Flag Indicates recommended for participationDisclaimer: DRRT uses a proprietary system to compile, store and disseminate information. DRRT provides lists for information to clients and uses best efforts to provide
complete and accurate information. However, DRRT assumes no liability for errors or omissions, and does not guarantee that any information contained in thislist is free of errors or omissions or reflects all information available at the time of publication.For certain Australian/New Zealand cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is noguarantee of “late joinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 8
Monitored Cases
Monitored CasesCertain U.S. and non-U.S. cases that are currently being monitored and might become relevant for future participation.
Confidential Attorney-Client Communication
*Cases highlighted in blue represent cases that have been added, or updated to this report since the last mailing.
General Active Case List Created On: 8/25/20213:31:45 AM
Sr. # Flag * Company Start of ClassPeriod
End of ClassPeriod Case Status
1 Boston Scientific Corporation (US)
Ticker: BSX
CUSIP: 101137107
ISIN: US1011371077
04/24/2019 11/16/2020
2 Citigroup Inc. (USA)
Ticker: C
CUSIP: 172967424
ISIN: US1729674242
01/15/2016 10/12/2020
3 FirstEnergy Corp. (US)
Ticker:
CUSIP: 337932107
ISIN: US3379321074
02/21/2017 07/21/2020 DRRT is monitoring a potential direct opt-out action.
4 Intel Corporation (US)
Ticker:
CUSIP: 458140100
ISIN: US4581401001
10/18/2019 07/23/2020 DRRT is monitoring a potential direct action opt-out.
5 Luckin Coffee Inc. (US)
Ticker: LK
CUSIP: FDS14GIW6, G5698LAA0, 54951LAB5, 54951L109
ISIN: USG5698LAA01, US54951LAB53, US54951L1098
05/17/2019 05/22/2020 DRRT is monitoring this case after the company
disclosed that it was investigating its chief operating
officer for allegedly inflating sales by hundreds of
millions of dollars in April 2020.
6 Pescanova SA (ES) Non-US
Ticker: PVA
CUSIP:
ISIN: ES0169350016
TBD TBD The deadline to file a claim in the bankruptcy
proceedings against Pescanova expired as of June
21, 2013.
7 Raytheon Technologies Corporation (US)
Ticker:
CUSIP: 913017109, 755111507, 75513E101
ISIN: US9130171096, US7551115071, US75513E1010
02/09/2016 11/06/2020
*Flag Indicates recommended for participationDisclaimer: The Monitored Cases list includes cases that DRRT is either currently monitoring as a potential future case or where DRRT has concluded that the present
circumstances do not warrant a current pursuit of the matter. This list should not be viewed as a complete list of all potential cases which are open for pursuitglobally or even all cases which DRRT is currently monitoring. Rather, it contains a subjective selection of such cases which DRRT considers as interesting andrelevant for its clients. Consequently, DRRT is not requesting transaction data relating to these cases at this point, but DRRT is available to consider andevaluate transaction data or provide a second opinion on any third-party solicitation to become active in any of these cases upon request.For certain Australian cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is no guarantee of “latejoinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
Filed Cases
Filed CasesU.S. and non-U.S. Special Cases filed by DRRT/with DRRT involvement which are currently active but no longer open for participation.
Confidential Attorney-Client Communication
General Active Case List Created On: 8/25/20213:31:45 AM
Sr. # Flag * Company Start of ClassPeriod
End of ClassPeriod Case Status
1 Banca Monte dei Paschi di Siena SpA (Italy) -Criminal Proceeding (2016)
Non-US
Ticker: BMPS
01/02/2008 05/13/2016 On December 15, 2016, DRRT’s clients joined the
criminal case against the indicted defendants as civil
parties, bringing a claim for their collective holdings of
30 million BMPS common stock. The claim has been
successfully submitted as part of the criminal
proceeding no. 11622 of 2016 in the criminal court of
Milan.2 Banca Monte dei Paschi di Siena SpA (Italy) -
Criminal Proceeding (2018)Non-US
Ticker:
01/02/2008 06/30/2017 On July 17, 2018, DRRT's clients joined the criminal
case as civil parties against indicted defendants of
Banca MPS. The claim has been successfully
submitted and weekly hearings are ongoing.3 Banco Espírito Santo/ Novo Banco (Portugal) Non-US
Ticker:
12/29/2015 03/10/2016 On March 29, 2016 the Global Counsel filed a
Complaint against the Bank of Portugal at the
Administrative Court in Lisbon, claiming nearly €100
million in damages for institutional investors from Italy,
Germany, Luxembourg, Ireland, US and England.4 BlackBerry Limited (Canada) Non-US
Ticker: BBRY
03/28/2013 09/20/2013 On December 20, 2013, DRRT filed statement of
claim against BlackBerry Limited and the former CEO
Thorsten Heins and former CEO Brian Bidulka in the
Ontario Superior Court of Justice, Canada.5 BP p.l.c. (Private Action)
Ticker: BP
11/08/2007 06/25/2010 On April 18, 2014, DRRT filed a case against BP
p.l.c., BP America Inc., BP Exploration and Production
Inc. and various directors in the U.S. Federal Court in
Texas.6 BRF S.A. (Brazil) Non-US
Ticker: BRFS3
04/04/2013 11/29/2019 On March 13, 2020, DRRT in conjunction with our
Brazilian Counsel, Finkelstein Advogados, filed a
Request for Arbitration on behalf of a group of 93
institutional investors seeking total damages of R$
807,652,687.80 (US$ 160,159,547.12/
EUR 150,300,207.70) with the MAC.7 BT Group plc (Italy) Criminal Proceeding Non-US
Ticker:
05/24/2012 12/28/2018 On December 9, 2019, at the initial criminal hearing,
all necessary documents were filed on behalf of 64
institutional investors claiming over £439 million in
damages.
8 Daimler AG (Germany) Non-US
Ticker:
07/10/2012 12/31/2018 On December 30, 2019, DRRT filed a case on behalf
of 219 institutional investors claiming €896 million in
damages against Daimler AG before the Regional
Court Stuttgart, Germany.9 Danske Bank A/S (Denmark) Non-US
Ticker: DANSKE
02/07/2013 10/24/2018 On March 14, 2019, DRRT and G&E, along with local
counsel, successfully filed the first wave of claims
against Danske Bank A/S in Copenhagen District
Court on behalf of 168 institutional investors claiming
over DKK 3 billion in damages.; Special Case in
Denmark.10 Deutsche Bank AG (Deutsche Postbank AG
Takeover) (Germany)Non-US
Ticker: DPB
10/01/2010 12/31/2010 On December 29, 2017, the largest action so far was
filed against Deutsche Bank AG in the Regional Court
of Cologne claiming a total of nearly €750 million from
more than 10 million tendered Deutsche Postbank AG
shares.11 Hypo Real Estate Holding GmbH I (Germany) Non-US
Ticker: HRX
07/11/2007 01/15/2008 On January 15, 2009, DRRT filed a case on behalf of
institutional investors with more than €900 million in
claims against Hypo Real Estate Holding AG at the
Regional Court Munich, Germany. This model case
under the German Model Proceeding Act is currently
pending at the German Supreme Court
(Bundesgerichtshof).12 JBS S.A. (Brazil) Non-US
Ticker: JBSS3
05/24/2013 05/31/2017 On March 12, 2020, in the specialized B3 venue, the
Market Arbitration Chamber (“MAC”), DRRT along
with its Brazilian local counsel, Finkelstein
Advogados, filed a Request for Arbitration on behalf
ninety-five institutional investors with aggregate claims
exceeding BRL 1.4 billion in damages against
Respondent, JBS S.A. 13 Kobe Steel, Ltd. (Japan) Non-US
Ticker:
05/31/2013 10/31/2019 On June 20, 2019, DRRT, along with local counsel,
Koga & Partners, successfully filed the first complaint
against Kobe Steel, Ltd. in Tokyo District Court
claiming over ¥5 billion in damages.*Flag Indicates recommended for participation
Disclaimer: The Monitored Cases list includes cases that DRRT is either currently monitoring as a potential future case or where DRRT has concluded that the presentcircumstances do not warrant a current pursuit of the matter. This list should not be viewed as a complete list of all potential cases which are open for pursuitglobally or even all cases which DRRT is currently monitoring. Rather, it contains a subjective selection of such cases which DRRT considers as interesting andrelevant for its clients. Consequently, DRRT is not requesting transaction data relating to these cases at this point, but DRRT is available to consider andevaluate transaction data or provide a second opinion on any third-party solicitation to become active in any of these cases upon request.For certain Australian cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is no guarantee of “latejoinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 1
General Active Case List Created On: 8/25/20213:31:45 AM
14 Lloyds Banking Group PLC (UK) Non-US
Ticker: LLOY
09/17/2008 01/19/2009 On November 19, 2014 the claim form was filed
against Lloyds Banking Group Plc and the former
directors of Lloyds TSB Plc. Additional Claimants
were filed on January 12, 2015 as of the date of the
ultimate limitation period. The claim form was served
on the Defendants on March 16, 2015. The trial began
on October 18, 2017 and concluded in March 2018.
After more than a year to deliberate, the judge has
dismissed the case against Lloyds. An appeal of this
decision is under consideration.15 Mitsubishi Motors Corporation (Japan) Non-US
Ticker: 7211 JP
01/01/2011 09/22/2017 On June 26, 2017, a complaint was filed claiming over
¥18 billion ($160 million) on behalf of 118 institutional
investors. The complaint alleges that investors were
harmed by the failure of Mitsubishi to disclose the fact
that they had been cheating on fuel efficiency tests
over a period of 25 years. Once the truth of the
companies testing methods became publicly known,
the share price of Mitsubishi stock dropped
precipitously. A subsequent complaint was filed on
April 20, 2018. 16 NOVO NORDISK A/S (DK) Non-US
Ticker: NOVOB DC, NOVC
02/03/2015 02/02/2017 On August 2, 2019, a complaint was successfully filed
in Glostrup District Court in Denmark on behalf of over
1700 institutional investors with damage claims of
DKK 11,785,192,218. Shortly thereafter, on August 7,
2019, a §1782 application was filed in the United
States District Court in New Jersey. This was filed to
request discovery from the ongoing class action
proceeding in the United States. The §1782
application was granted. However, the defendant has
now filed a third appeal. The previous two have been
denied.17 Petróleo Brasileiro S.A. (Brazil) Non-US
Ticker: PETR4 BZ, PETR3 BZ
12/31/2009 08/15/2016 On August 15, 2016, a first arbitration request in Brazil
with the Market Arbitration Chamber of the BOVESPA
has been initiated by DRRT's local counsel. On
December 15, 2016 and March 15, 2017, requests for
joinder were filed to join the pending arbitration
procedure. This brings the total of all claims in the
Market Arbitration Chamber (MAC) arbitration
procedure to be between $380 and $660 million in
inflation/rescission damages.18 Porsche Automobil Holding SE (2016) (Germany) Non-US
Ticker: PAH3 GR, POR3 GR
06/06/2008 09/25/2015 On September 19, 2016, DRRT filed its case on
behalf of 147 institutional investors, claiming over
€547 million in damages against Porsche Automobil
Holding S.E at the Regional Court Stuttgart, Germany.19 Saipem SpA (Italy) Non-US
Ticker: SPM
01/02/2007 12/31/2013 On Monday, December 4, 2017, DRRT filed a
complaint against Saipem and former officers Mr.
Pietro Franco Tali and Mr. Umberto Vergine, in the
Court of Milan. The complaint was filed through our
Italian co-counsel on behalf of over 25 institutional
investors claiming over €300 million in damages. The
first hearing will take place on June 5, 2018. Also on
Monday, December 4, 2017, DRRT sent a demand
letter to Saipem, as well as former officers Mr. Pietro
Franco Tali and Mr. Umberto Vergine. The letter is
asking for damages on behalf of over 140 institutional
investors. Additionally, the letter will serve to re-start
the statute of limitations for an additional five years.20 Steinhoff International Holdings N.V. (South
Africa/Netherlands/Germany)Non-US
Ticker:
06/26/2013 02/28/2018 The ISLG, through its Foundation, along with several
other claimant groups, have reached a tentative global
settlement of its claims with the boards of directors of
Steinhoff International Holdings Proprietary Limited
(SIHPL) and Steinhoff International Holdings
N.V. (SIHNV). Steinhoff has agreed to contribute a
sum of EUR 266 million to the settlement fund to be
paid 50% in cash and 50% in shares of Pepkor
Holdings, a South African company that is part of the
Steinhoff Group. In addition, Steinhoff’s auditors,
Deloitte will contribute EUR 62.34 million to the
settlement fund and their D&O Insurers will contribute
EUR 62 million.21 Teva Pharmaceutical Industries Limited (US) (Opt
Out)
Ticker:
02/06/2014 11/01/2019 DRRT is monitoring developments regarding Teva's
misrepresentations of its revenue sources, untimely
disclosures of write-downs and cuts to dividends and
its failure to disclose several investigations regarding
price-fixing.
*Flag Indicates recommended for participationDisclaimer: The Monitored Cases list includes cases that DRRT is either currently monitoring as a potential future case or where DRRT has concluded that the present
circumstances do not warrant a current pursuit of the matter. This list should not be viewed as a complete list of all potential cases which are open for pursuitglobally or even all cases which DRRT is currently monitoring. Rather, it contains a subjective selection of such cases which DRRT considers as interesting andrelevant for its clients. Consequently, DRRT is not requesting transaction data relating to these cases at this point, but DRRT is available to consider andevaluate transaction data or provide a second opinion on any third-party solicitation to become active in any of these cases upon request.For certain Australian cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is no guarantee of “latejoinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 2
General Active Case List Created On: 8/25/20213:31:45 AM
22 Toshiba Corp. (Japan) Non-US
Ticker: 6502 JP
03/31/2008 04/22/2016 DRRT has filed four complaints against Toshiba on
behalf of 120 institutional investors for approximately
$550 million. All limitation periods have expired.23 Vale S.A. (Brazil) Non-US
Ticker: VALE5 BZ, VALE3 BZ
11/16/2015 07/03/2019 Potential Special Case in Brazil.
24 Vivendi S.A. (France) Non-US
Ticker: VIVFP, VIVEF
10/30/2000 08/14/2002 On May 2, 2012, DRRT filed a case for over 67
institutional investors seeking damages of over €640
million against Vivendi and its former CEO Jean-Marie
Messier at the Commercial Court in Paris, France. On
August 13, 2012, DRRT filed an intervention on behalf
of more than 24 institutional investors with
approximately €400 million in claims.25 Volkswagen AG (2016) (Germany) Non-US
Ticker: PAH3, VOW3, VOW
06/06/2008 09/25/2015 On March 14, 2016, DRRT filed a case against
Volkswagen AG on behalf of 278 institutional
investors claiming €3.25 billion in damages in the
Regional Court of Braunschweig. On September 19,
2016, DRRT filed its second case on behalf of 263
institutional investors of over €1.25 billion in damages
against Volkswagen AG at the Regional Court
Braunschweig, Germany. On May 23, 2017, DRRT
filed a third complaint on behalf of 25 institutional
investors, including bond claims. Finally, on
December 28, 2018, DRRT filed a final complaint on
behalf of investors that had not filed so far.26 Volkswagen AG/ Porsche Automobil Holding SE
(Market Manipulation) (Germany)Non-US
Ticker: VOW GR
03/09/2008 05/06/2009 On September 7, 2011, DRRT filed its first case
(amended complaint filed on December 21, 2011) on
behalf of institutional investors of over €1.7 billion in
damages against Porsche Automobil Holding S.E. and
Volkswagen AG at the Regional Court Braunschweig,
Germany. On December 21, 2011, DRRT filed a
second case against Porsche Automobil Holding S.E
adding €350 million additional damages. Model case
proceeding are pending at the Higher Regional Court
of Celle, Germany.
*Flag Indicates recommended for participationDisclaimer: The Monitored Cases list includes cases that DRRT is either currently monitoring as a potential future case or where DRRT has concluded that the present
circumstances do not warrant a current pursuit of the matter. This list should not be viewed as a complete list of all potential cases which are open for pursuitglobally or even all cases which DRRT is currently monitoring. Rather, it contains a subjective selection of such cases which DRRT considers as interesting andrelevant for its clients. Consequently, DRRT is not requesting transaction data relating to these cases at this point, but DRRT is available to consider andevaluate transaction data or provide a second opinion on any third-party solicitation to become active in any of these cases upon request.For certain Australian cases it may be possible for DRRT clients to join despite the expiration of the official deadline. Hence, while there is no guarantee of “latejoinders”, clients are always encouraged to contact us for an attempt to do so, and most of the times we have been able to succeed.
Note: See the excel format of the report for more columns.Page: 3