General Active Case List (GACL)

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


5 Wirecard AG (Insolvency Proceeding) Non-US

Ticker:

CUSIP: ZR4792175, 97654L108

ISIN: DE000A2YNQ58, DE0007472060


*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


*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.


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





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





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




Taiwan Cases

Taiwan CasesSecurities group action cases in the Republic of China (Taiwan) brought by the Securities and Futures Investors Protection Center (SFIPC).



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




Pending Settlements

Pending SettlementsAll presently pending or announced settlements with potential client involvement or eligibility




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





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


$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


$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





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





27 Mexican Government Bond Transactions(Antitrust)

$20,700,000.00 11/29/2021 01/01/2006 04/19/2017





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, 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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,





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,





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





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




New Class Actions

New Class ActionsAll new class actions with Lead Plaintiff Deadline or potential as special cases (opt-outs)




Sr. # Flag * Company Lead PlaintiffDeadline

Start of ClassPeriod


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





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")





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")





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





43 Volkswagen AG Bonds (2021) (Germany) 10/31/2021 01/01/2012 09/22/2015





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,





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,





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




Monitored Cases

Monitored CasesCertain U.S. and non-U.S. cases that are currently being monitored and might become relevant for future participation.




Sr. # Flag * Company Start of ClassPeriod


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.


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.



Sr. # Flag * Company Start of ClassPeriod


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.



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.





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.




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