Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38699 Filed 03/10/21 Page 1 of 10
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`EXHIBIT 9
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38700 Filed 03/10/21 Page 2 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 1 of 9 Pg ID 16393
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38701 Filed 03/10/21 Page 3 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 2 of 9 Pg ID 16394
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`UNITED STATES DISTRICT COURT
`EASTERN DISTRICT OF MICHIGAN
`SOUTHERN DIVISION
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`IN RE: REFRIGERANT COMPRESSORS
`ANTITRUST LITIGATION
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`This document Relates to
`ALL DIRECT PURCHASER ACTIONS
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`MDL No. 2:09-md-02042-SFC
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`HONORABLE SEAN F. COX
`UNITED STATES DISTRICT JUDGE
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`DECLARATION OF LORI L. CASTANEDA REGARDING THE REFRIGERANT
`COMPRESSORS ANTITRUST LITIGATION DISTRIBUTION
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`I, Lori L. Castaneda, hereby declare as follows:
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`1.
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`I am a Vice President of Garden City Group, LLC (“GCG”). The following
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`statements are based on my personal knowledge and information provided by other experienced
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`GCG employees working under my supervision, and, if called on to do so, I could and would
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`testify competently thereto.
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`2.
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`GCG is serving in this matter as the Claims Administrator assisting with various
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`tasks, including: disseminating Notices and claims forms; publishing Summary Notices;
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`receiving and processing claims and requests for exclusion; responding to Class Member
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`inquiries; establishing and maintaining a settlement website; and performing such other duties as
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`may be directed by the Court or the Parties including distribution of Settlement Funds.
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`3.
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`This Declaration discusses the administrative work that GCG has performed and
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`the determinations made with respect to the processing of claims filed in connection with the
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`DECLARATION OF LORI L. CASTANEDA RE DISTRIBUTION
`- 1 -
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38702 Filed 03/10/21 Page 4 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 3 of 9 Pg ID 16395
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`Refrigerant Compressors Antitrust Litigation (“Settlements”) by Plaintiffs with the following
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`Defendants: (1) Tecumseh Products Company, Tecumseh Compressor Company, Tecumseh do
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`Brasil, Ltda and their subsidiaries and affiliates (“Tecumseh Defendants”); (2) Embraco North
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`America, Inc. and Whirlpool S.A. (“Embraco Defendants”); (3) Danfoss Flensburg GmbH,
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`formerly Danfoss Compressors GmbH (“Danfoss Flensburg”), and; (4) Panasonic Corporation
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`and Panasonic Corporation of North America (“Panasonic Defendants”).
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`CLAIMS ADMINISTRATION
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`4.
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`Claims Received. GCG received and reviewed claims for validity and inclusion
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`in the Settlements. The postmark deadline for Class Members to file claims was June 9, 2014. To
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`make a claim, Class Members were required to complete the approved Claim Form. GCG
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`received a total of 164 timely Claim Forms and eight (8) late Claim Forms, for a total of 172
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`claims received. GCG reviewed claims for completeness, identification of duplicative claims,
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`timeliness, fraud, and, where high values were claimed whether the claim could be supported by
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`documentation and defendant data.
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`5.
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`Duplicate Claims. During the claims administration process, some claims were
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`identified to be duplicative, meaning they were submitted for the same entity and same value. In
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`total, four (4) claims were identified as such and were removed from further review and
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`processing, leaving 168 unique claims.
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`6.
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`Late Claims. As stated above, eight (8) claims were received after the postmark
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`deadline. None of these claims were received so late as to interfere with the claims
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`administration process. However, after the claims review process described below, it was
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`determined that only four (4) of the late claims were valid claims. GCG has included these
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`remaining four late claims in the group of claims discussed below and in the calculation of award
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`DECLARATION OF LORI L. CASTANEDA RE DISTRIBUTION
`- 2 -
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38703 Filed 03/10/21 Page 5 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 4 of 9 Pg ID 16396
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`amounts. If approved by the Court, they will be included in the distribution of award payments.
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`7.
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`Claim Review, Deficiency, and Audit Process. The Claim Form required each
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`claimant to provide the U.S. Dollar amount of Compressor purchases in the United States from
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`one or more Defendants during the Class Period. GCG reviewed all Claim Forms for
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`completeness and collected the information provided, including any supporting documentation
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`submitted, in GCG’s proprietary database. GCG also audited all claims received and compared
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`the stated purchase amounts against purchase data provided to GCG by the Defendants. Through
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`the review process, GCG identified claims where further information was needed to verify the
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`claim and claims that were deficient due to a failure to provide required information.
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`Deficiencies included:
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` Failure to provide purchase amount(s);
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` provided amounts that did not correspond to the amounts contained in Defendants’
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`data;
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` name not found in defendant data as purchaser.
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`GCG mailed or otherwise communicated to Class Members identified deficiencies and
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`discrepancies with Defendants’ data and provided opportunities to cure said deficiencies and
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`provide further data. A total of 136 of 168 claims submitted information that did not align with
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`Defendants’ data or were deemed deficient. These claimants were sent a letter requesting further
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`information to correct the deficiency or validate their claim. As necessary, after receiving any
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`written responses, GCG engaged in additional follow-up discussions with claimants via
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`telephone and email concerning their responses and the supporting documentation provided.
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`After GCG reviewed all responses and documentation, 85 of the 136 claims remained deficient,
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`were withdrawn, or did not pass the audit review. All of the claims that did not pass the review
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`DECLARATION OF LORI L. CASTANEDA RE DISTRIBUTION
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38704 Filed 03/10/21 Page 6 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 5 of 9 Pg ID 16397
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`process ultimately revealed themselves to not be eligible for one or more of the following
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`reasons:
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` The compressors were not purchased in U.S. Dollars or were purchased outside of the
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`United States;
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`the compressors purchased were greater than one horsepower;
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`the compressors were not purchased during the class period;
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`the compressors were not purchased individually, but were purchased as components
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`of integrated products, such as condensing units or refrigeration decks;
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`the compressors were not purchased directly from one of the Defendants.
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`Eligible Claims. After GCG’s review of all claims, the total number of claims
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`8.
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`eligible for payment in the Settlements is 83.
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`9.
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`Settlement Funds. Based on the escrow statements provided to GCG, a total of
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`$21,112,110.52 in settlement funds are available from the Settling Defendants as detailed below;
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` Tecumseh Defendants: $4,996,033.76;
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` Embraco Defendants: $8,255,533.99;
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` Danfoss Flensburg: $2,413,366.34; and
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` Panasonic Defendants: $5,447,176.43.
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`The balances above include earned interest and reflect reductions for the payment of
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`attorneys’ fees, expenses, and incentive awards approved by the Court.
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`10.
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`Administrative Fees and Expenses. Pursuant to the Defendants’ Settlement
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`Agreements, up to a total of $752,214.18 in the Tecumseh, Danfoss, and Embracco escrow
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`accounts are available to pay administration costs and expenses. GCG anticipates that
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`administrative fees and expenses, including publication of notice, direct mail of notice, class
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`DECLARATION OF LORI L. CASTANEDA RE DISTRIBUTION
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38705 Filed 03/10/21 Page 7 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 6 of 9 Pg ID 16398
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`member communications, the deficiency and audit process, bank fees, and the award distribution,
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`will be $269,850.
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`11.
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`Net Settlement Fund. Taking into account the fees paid and adjustments to the
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`Settlement Fund described above, the total amount available for distribution to claimants at this
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`time (the “Net Settlement Fund”) is $20,842,260.52, including earned interest. The Net
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`Settlement Fund is in accordance with the Plan of Allocation approved by the Court, and in
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`consultation with Settlement Class Counsel.
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`12.
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`Recommended Allocations. GCG has calculated awards in accordance with the
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`Plan of Allocation. GCG has included all claims approved in the review process including late
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`claims. The high, low, and average award amounts are $4,696,247.37, $33.14, and $251,111.57,
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`respectively. Using the purchase data as provided by the defendants and confirmed by the
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`claimants, the rate of return on purchase amounts is approximately 3.74%. Attached as Exhibit
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`A is a chart showing information about each claimant’s purchases and GCG’s application of pro
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`rata awards pursuant to the Plan of Allocation. The chart identifies each claimant by claim
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`number and provides the amounts in U.S. Dollars of their approved purchases. It also notes
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`whether the claim was received after the claims deadline.
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`13.
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`Upon Court approval of the above, GCG is prepared to commence distribution for
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`the Settlements in accordance with the calculations noted above and the Plan of Allocation.
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`I declare under penalty of perjury pursuant to the laws of the United States of America
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`that the foregoing is true and correct.
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`Executed on this 8th day of March, 2017, at Seattle, Washington.
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`__________________________________
` LORI L. CASTANEDA
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`DECLARATION OF LORI L. CASTANEDA RE DISTRIBUTION
`- 5 -
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38706 Filed 03/10/21 Page 8 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 7 of 9 Pg ID 16399
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`Exhibit A
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`Case 2:12-md-02311-SFC-RSW ECF No. 2125-15, PageID.38707 Filed 03/10/21 Page 9 of 10
`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 8 of 9 Pg ID 16400
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`Timely Unique ID Embracco Claim Danfoss Claim Panasonic Claim Tecumseh Claim Total Award
`Yes
`1000278
`$79,427,949.00 $79,427,949.00
`$79,427,949.00
`$79,427,949.00 $4,696,247.37
`Yes
`1000081
`$46,193,663.00 $46,193,663.00
`$46,193,663.00
`$46,193,663.00 $2,731,240.97
`Yes
`1000259
`$40,521,141.00 $40,521,141.00
`$40,521,141.00
`$40,521,141.00 $2,395,848.12
`Yes
`1000126
`$0.00
`$0.00
`$0.00
`$223,770,085.00 $1,950,220.49
`Yes
`1000104
`$27,067,619.00 $27,067,619.00
`$27,067,619.00
`$27,067,619.00 $1,600,396.80
`Yes
`2000052
`$22,041,537.22 $22,041,537.22
`$22,041,537.22
`$22,041,537.22 $1,303,225.29
`Yes
`3000006
`$17,077,487.00 $17,077,487.00
`$17,077,487.00
`$17,077,487.00 $1,009,721.45
`Yes
`1000280
`$10,804,297.40 $10,804,297.40
`$10,804,297.40
`$10,804,297.40
`$638,813.58
`Yes
`2000189
`$8,657,571.00
`$8,657,571.00
`$8,657,571.00
`$8,657,571.00
`$511,886.51
`Yes
`2000178
`$8,308,336.20
`$8,308,336.20
`$8,308,336.20
`$8,308,336.20
`$491,237.68
`Yes
`73
`$7,452,431.00
`$7,452,431.00
`$7,452,431.00
`$7,452,431.00
`$440,631.54
`Yes
`1000136
`$6,896,095.00
`$6,896,095.00
`$6,896,095.00
`$6,896,095.00
`$407,737.69
`Yes
`1000289
`$4,445,350.00
`$4,445,350.00
`$4,445,350.00
`$4,445,350.00
`$262,835.24
`Yes
`2000108
`$3,956,078.60
`$3,956,078.60
`$3,956,078.60
`$3,956,078.60
`$233,906.64
`Yes
`1000703
`$2,972,084.67
`$2,972,084.67
`$2,972,084.67
`$2,972,084.67
`$175,727.12
`Yes
`2000246
`$2,964,634.00
`$2,964,634.00
`$2,964,634.00
`$2,964,634.00
`$175,286.60
`Yes
`2000094
`$2,682,257.00
`$2,682,257.00
`$2,682,257.00
`$2,682,257.00
`$158,590.81
`Yes
`72
`$2,298,127.40
`$2,298,127.40
`$2,298,127.40
`$2,298,127.40
`$135,878.80
`Yes
`1000103
`$0.00
`$0.00
`$0.00
`$14,949,508.00
`$130,289.25
`Yes
`1000203
`$2,069,777.21
`$2,069,777.21
`$2,069,777.21
`$2,069,777.21
`$122,377.39
`Yes
`1000171
`$1,966,303.00
`$1,966,303.00
`$1,966,303.00
`$1,966,303.00
`$116,259.39
`Yes
`1000291
`$1,716,549.07
`$1,716,549.07
`$1,716,549.07
`$1,716,549.07
`$101,492.48
`Yes
`1000742
`$1,549,702.39
`$1,549,702.39
`$1,549,702.39
`$1,549,702.39
`$91,627.51
`Yes
`1000112
`$1,465,772.92
`$1,465,772.92
`$1,465,772.92
`$1,465,772.92
`$86,665.11
`Yes
`1000239
`$1,044,089.73
`$1,044,089.73
`$1,044,089.73
`$1,044,089.73
`$61,732.72
`Yes
`2000164
`$915,729.01
`$915,729.01
`$915,729.01
`$915,729.01
`$54,143.28
`Yes
`1000334
`$883,296.00
`$883,296.00
`$883,296.00
`$883,296.00
`$52,225.65
`Yes
`3000001
`$796,739.00
`$796,739.00
`$796,739.00
`$796,739.00
`$47,107.90
`Yes
`1000473
`$705,914.07
`$705,914.07
`$705,914.07
`$705,914.07
`$41,737.78
`Yes
`1000199
`$682,087.73
`$682,087.73
`$682,087.73
`$682,087.73
`$40,329.04
`Yes
`1000482
`$602,501.00
`$602,501.00
`$602,501.00
`$602,501.00
`$35,623.41
`Yes
`2000139
`$601,905.00
`$601,905.00
`$601,905.00
`$601,905.00
`$35,588.16
`Yes
`1000751
`$588,643.00
`$588,643.00
`$588,643.00
`$588,643.00
`$34,804.04
`Yes
`1000405
`$586,105.00
`$586,105.00
`$586,105.00
`$586,105.00
`$34,653.97
`Yes
`2000238
`$572,703.70
`$572,703.70
`$572,703.70
`$572,703.70
`$33,861.61
`Yes
`2000105
`$562,507.30
`$562,507.30
`$562,507.30
`$562,507.30
`$33,258.74
`Yes
`1000246
`$524,176.00
`$524,176.00
`$524,176.00
`$524,176.00
`$30,992.36
`Yes
`2000120
`$516,495.92
`$516,495.92
`$516,495.92
`$516,495.92
`$30,538.27
`Yes
`1000133
`$483,303.63
`$483,303.63
`$483,303.63
`$483,303.63
`$28,575.75
`Yes
`1000140
`$464,627.00
`$464,627.00
`$464,627.00
`$464,627.00
`$27,471.49
`Yes
`1000290
`$395,512.00
`$395,512.00
`$395,512.00
`$395,512.00
`$23,384.99
`Yes
`2000223
`$330,081.53
`$330,081.53
`$330,081.53
`$330,081.53
`$19,516.37
`Yes
`1000311
`$326,752.11
`$326,752.11
`$326,752.11
`$326,752.11
`$19,319.51
`Yes
`29
`$287,919.67
`$287,919.67
`$287,919.67
`$287,919.67
`$17,023.50
`Yes
`1000692
`$272,777.56
`$272,777.56
`$272,777.56
`$272,777.56
`$16,128.21
`Yes
`75
`$257,399.13
`$257,399.13
`$257,399.13
`$257,399.13
`$15,218.95
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`

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`2:09-md-02042-SFC Doc # 607-1 Filed 03/08/17 Pg 9 of 9 Pg ID 16401
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`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`No
`No
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`Yes
`No
`Yes
`Yes
`Yes
`Yes
`Yes
`No
`
`2000109
`1000395
`1000599
`2000137
`1000722
`1000487
`1000096
`1000115
`1000647
`1000032
`2000042
`1000517
`1000283
`1000436
`1000708
`1000542
`1000581
`1000607
`2000198
`1000182
`1000624
`1000513
`1000616
`1000271
`1000003
`1000415
`2000142
`1000245
`2000048
`1000188
`1000417
`1000255
`105
`1000470
`1000427
`1000512
`1000739
`
`$241,856.90
`$237,421.80
`$236,104.09
`$194,022.96
`$162,207.57
`$103,611.00
`$92,019.00
`$82,186.15
`$79,961.81
`$76,380.00
`$74,334.10
`$73,431.56
`$73,213.00
`$71,968.74
`$61,411.67
`$45,263.19
`$44,734.50
`$43,120.00
`$41,569.42
`$40,854.00
`$39,409.13
`$38,684.20
`$36,221.29
`$34,910.00
`$31,806.00
`$20,892.67
`$18,986.70
`$17,201.00
`$14,683.49
`$14,304.00
`$10,307.82
`$10,064.00
`$9,616.00
`$4,791.78
`$2,449.45
`$2,170.00
`$560.44
`
`$241,856.90
`$237,421.80
`$236,104.09
`$194,022.96
`$162,207.57
`$103,611.00
`$92,019.00
`$82,186.15
`$79,961.81
`$76,380.00
`$74,334.10
`$73,431.56
`$73,213.00
`$71,968.74
`$61,411.67
`$45,263.19
`$44,734.50
`$43,120.00
`$41,569.42
`$40,854.00
`$39,409.13
`$38,684.20
`$36,221.29
`$34,910.00
`$31,806.00
`$20,892.67
`$18,986.70
`$17,201.00
`$14,683.49
`$14,304.00
`$10,307.82
`$10,064.00
`$9,616.00
`$4,791.78
`$2,449.45
`$2,170.00
`$560.44
`
`$241,856.90
`$237,421.80
`$236,104.09
`$194,022.96
`$162,207.57
`$103,611.00
`$92,019.00
`$82,186.15
`$79,961.81
`$76,380.00
`$74,334.10
`$73,431.56
`$73,213.00
`$71,968.74
`$61,411.67
`$45,263.19
`$44,734.50
`$43,120.00
`$41,569.42
`$40,854.00
`$39,409.13
`$38,684.20
`$36,221.29
`$34,910.00
`$31,806.00
`$20,892.67
`$18,986.70
`$17,201.00
`$14,683.49
`$14,304.00
`$10,307.82
`$10,064.00
`$9,616.00
`$4,791.78
`$2,449.45
`$2,170.00
`$560.44
`
`$241,856.90
`$237,421.80
`$236,104.09
`$194,022.96
`$162,207.57
`$103,611.00
`$92,019.00
`$82,186.15
`$79,961.81
`$76,380.00
`$74,334.10
`$73,431.56
`$73,213.00
`$71,968.74
`$61,411.67
`$45,263.19
`$44,734.50
`$43,120.00
`$41,569.42
`$40,854.00
`$39,409.13
`$38,684.20
`$36,221.29
`$34,910.00
`$31,806.00
`$20,892.67
`$18,986.70
`$17,201.00
`$14,683.49
`$14,304.00
`$10,307.82
`$10,064.00
`$9,616.00
`$4,791.78
`$2,449.45
`$2,170.00
`$560.44
`
`$14,300.00
`$14,037.77
`$13,959.85
`$11,471.79
`$9,590.67
`$6,126.09
`$5,440.70
`$4,859.34
`$4,727.82
`$4,516.03
`$4,395.07
`$4,341.71
`$4,328.78
`$4,255.22
`$3,631.02
`$2,676.22
`$2,644.96
`$2,549.51
`$2,457.83
`$2,415.52
`$2,330.10
`$2,287.23
`$2,141.62
`$2,064.08
`$1,880.56
`$1,235.30
`$1,122.60
`$1,017.02
`$868.17
`$845.74
`$609.47
`$595.04
`$568.55
`$283.32
`$144.83
`$128.30
`$33.14
`
`