Claim Form - AppHarvest Securities Litigation

In re AppHarvest Securities Litigation Proof of Claim and Release

Step 1 of 7 - Help

This form allows you to file your claim online securely through our website. If you wish to file a paper claim or review any of the documents related to this case, please click the Notice of Pendency of Class Action, Proposed Class Action Settlement, Final Approval Hearing, and Motion for Attorneys’ Fees and Expenses and Proof of Claim and Release link found in the Important Documents section of the case page.

Before you begin
Please have the following items ready to go before you begin filing your online claim form; it will make the process easier for you.
• You should have copies of your statements for the relevant date ranges so that you can enter your transactions.
• You should have copies of these statements scanned and saved on your computer so that you can upload them as proof. We prefer files in PDF format, but we can accept most file formats.

Step 1 – General Instructions
Please read this important information about the case. It provides important details you should understand before you file your claim.

Step 2 – Claimant Information
Please enter your current contact information to assist us in identifying your claim and contacting you for additional information and updates. We recommend you turn off auto-fill settings in your browser to ensure incorrect information is not added by mistake. You will receive a confirmation email that we received your claim at the email address you provide. Double check the information before you click next as you will not have the opportunity to review it again prior to submitting.

Step 3 – Schedule of Transactions
Please read the instructions carefully and enter your relevant transactions. You need to ensure that your number of shares in beginning holdings plus purchases/acquisitions minus sales and minus ending holdings equals zero. This is to ensure that all relevant transactions are accounted for. The form will not allow you to continue until all outstanding shares are accounted for.

Step 4 – Documentation
Please drag and drop your files or click select files and choose the files that you will provide as proof of your transactions. Broker statements are usually the best documents to use as proof. Please note that when the file upload completes, the file name will be listed below the upload box. You can click the red x to remove the file if it was added in error.

Step 5 - Release and Certification
Please read the Releases, Warranties, and Certification. By typing your name and date in these fields, you are signing the document and certifying that everything is true, correct and complete. After you click the submit button, you will receive a confirmation that your claim was submitted. You will also receive a confirmation number, please record this number for future reference.

After submitting your claim
Within a few minutes of submitting your claim, you will receive a confirmation email from us that contains your Form ID along with the information you submitted. If you need to make any amendments to your claim; please reference the Form ID you received.

GENERAL INSTRUCTIONS
1. To recover as a member of the Settlement Class based on your claims in the action entitled In re AppHarvest Inc., Securities Litigation, Case No. 1:21-cv-7985-LJL. (S.D.N.Y.) (the “Action”), you must complete and sign this Proof of Claim and Release form (“Claim Form”). If you fail to submit a timely and properly addressed (as explained in paragraph 3 below) Claim Form, your claim may be rejected and you may not receive any recovery from the Net Settlement Fund created in connection with the proposed Settlement.

2. Submission of this Claim Form, however, does not assure that you will share in the proceeds of the Settlement of the Action.

3. THIS CLAIM FORM MUST BE SUBMITTED ONLINE BY CLICKING NEXT BELOW AND FOLLOWING ALL THE INSTRUCTIONS NO LATER THAN MAY 22, 2024, OR, IF MAILED, BE POSTMARKED NO LATER THAN MAY 22, 2024, ADDRESSED AS FOLLOWS:

In re AppHarvest Inc. Securities Litigation
c/o Strategic Claims Services
600 N. Jackson St., Suite 205
Media, PA 19063
Toll-free: (866) 274-4004
Fax: (610) 565-7985
info@strategicclaims.net

4. If you are a member of the Settlement Class and you do not timely request exclusion in response to the Notice dated May 22, 2024 you are bound by the terms of any judgment entered in the Action, including the releases provided therein, WHETHER OR NOT YOU SUBMIT A CLAIM FORM OR RECEIVE A PAYMENT
CLAIMANT IDENTIFICATION
1. If you purchased or otherwise acquired publicly traded AppHarvest Inc. (“AppHarvest”) securities, during the period between February 1, 2021 and August 10, 2021, (the “Settlement Class Period”) and held the securities in your name, you are the beneficial owner as well as the record owner. If, however, you purchased or otherwise acquired AppHarvest securities during the Settlement Class Period through a third party, such as a brokerage firm, you are the beneficial owner and the third party is the record owner.

2. Use the part of this form entitled “Claimant Information” to identify each beneficial owner of AppHarvest securities that form the basis of this claim, as well as the owner of record if different. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL OWNERS OR THE LEGAL REPRESENTATIVE OF SUCH OWNERS.

3. All joint owners must sign this claim. Executors, administrators, guardians, conservators, and trustees must complete and sign this claim on behalf of persons represented by them and their authority must accompany this claim and their titles or capacities must be stated. The Social Security (or taxpayer identification) number and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in rejection of the claim.
IDENTIFICATION OF TRANSACTIONS
1. Use the parts of this form entitled “Schedule of Transactions in AppHarvest Securities” to supply all required details of your transaction(s) in AppHarvest securities.

2. On the schedule, provide all of the requested information with respect to your holdings, purchases, acquisitions, and sales of AppHarvest securities, whether the transactions resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim.

3. The date of covering a “short sale” of AppHarvest Common Stock is deemed to be the date of purchase of AppHarvest shares. The date of a “short sale” of AppHarvest Common Stock is deemed to be the date of sale of AppHarvest shares.

4. Copies of broker confirmations or other documentation of your transactions must be submitted with your claim. Failure to provide this documentation could delay verification of your claim or result in rejection of your claim. THE PARTIES DO NOT HAVE INFORMATION ABOUT YOUR TRANSACTIONS IN APPHARVEST SECURITIES.

5. NOTICE REGARDING INSTITUTIONAL FILERS: Representatives with authority to file on behalf of (a) accounts of multiple Settlement Class Members and/or (b) institutional accounts with large numbers of transactions (“Representative Filers”) must submit information regarding their transactions in an electronic spreadsheet format. If you are a Representative Filer, you must contact the Claims Administrator at efile@strategicclaims.net or visit their website at www.strategicclaims.net/institutional-filers/ to obtain the required file layout. Claims which are not submitted in electronic spreadsheet format and in accordance with the Claims Administrator’s instructions may be subject to rejection. All Representative Filers MUST also submit a manually signed Claim Form, as well as proof of authority to file (see Item 3 of the Claimant Identification), along with the electronic spreadsheet format. No claims submitted in electronic spreadsheet format will be considered to have been properly submitted unless the Claims Administrator issues to the Claimant a written acknowledgment of receipt and acceptance of electronically submitted data.

6. NOTICE REGARDING ONLINE FILING: Claimants who are not Representative Filers may submit their claims online using the electronic version of the Claim Form hosted here by clicking Next below and following all the instructions. If you are not acting as a Representative Filer, you do not need to contact the Claims Administrator prior to filing; you will receive an automated e-mail confirming receipt once your Claim Form has been submitted. If you are unsure if you should submit your claim as a Representative Filer, please contact the Claims Administrator at info@strategicclaims.net or (866) 274-4004. If you are not a Representative Filer, but your claim contains a large number of transactions, the Claims Administrator may request that you also submit an electronic spreadsheet showing your transactions to accompany your Claim Form.

CLAIMANT INFORMATION
The Claims Administrator will use this information for all communications regarding this Claim Form. If this information changes, you MUST notify the Claims Administrator in writing. Complete names of all persons and entities must be provided.
Beneficial Owner's Name*

(as you would like it to appear on your check if eligible for payment)
Co-Beneficial Owner’s Name
Name
Entity Name

(if claimant is not an individual)
Representative or Custodian Name

(if different from Beneficial Owner(s) listed above)
Address*
Address 1 (street name and number) Address2 (apartment, unit, or box number) City State / Province / Region ZIP / Postal Code Country
Account Number
Claimant Account Type
- Individual (includes joint owner accounts)
- Pension Plan
- Trust
- Corporation
- Estate
- IRA/401K
(check appropriate option)
Last 4 Digits of Social Security Number (for individuals) or Last 7 Digits of T.I.N. (for estates, trusts, corporations, etc.)
Best Phone Number*
Alternate Phone Number
Email*
Enter Email Confirm Email

SCHEDULE OF TRANSACTIONS IN APPHARVEST COMMON STOCK
Complete this part if, and only if, you purchased/acquired AppHarvest common stock during the period between February 1, 2021 and August 10, 2021, inclusive. Please include proper documentation with your Claim Form as described in detail in Identification of Transactions, above. Do not include information in this section regarding securities other than AppHarvest common stock.
BEGINNING HOLDINGS*
State the total number of shares of common stock held as of the close of trading on January 31, 2021 (must be documented). If none, enter 0. Be sure to attach documentation verifying your holdings such as an account statement.
PURCHASES/ACQUISITIONS DURING THE SETTLEMENT CLASS PERIOD
Separately list each and every purchase/acquisition of common stock from after the opening of trading on February 1, 2021 and through the close of trading on August 10, 2021 (must be documented.) Be sure to attach documentation verifying your transactions.
Date of Purchase (List Chronologically) (mm/dd/yyyy) Number of Shares Purchased Purchase Price Per Share Total Purchase Price (Excluding Commissions, Taxes, and Fees)
PURCHASES/ACQUISITIONS DURING 90-DAY LOOKBACK PERIOD*
State the total number of shares of common stock purchased/acquired between August 11, 2021 and November 8, 2021, inclusive. (must be documented). If none, enter 0.
SALES DURING THE SETTLEMENT CLASS PERIOD AND DURING THE 90-DAY LOOKBACK PERIOD
Separately list each and every sale/disposition of common stock from after the opening of trading on February 1, 2021 through and including the close of trading on November 8, 2021 (must be documented). Be sure to attach documentation verifying your transactions.
Date of Sale (List Chronologically) (mm/dd/yyyy) Number of Shares Sold Sale Price Per Share Total Sale Price (Excluding Commissions, Taxes, and Fees)
ENDING HOLDINGS*
State the total number of shares of common stock held as of the close of trading on November 8, 2021 (must be documented). If none, enter 0. Be sure to attach documentation verifying your holdings such as a current account statement.
BALANCE CHECK
Below is a summary of the transactions you entered. Your Beginning Holdings plus Purchases/Acquisitions minus Sales and Ending Holdings should equal zero. Please correct any errors below to ensure that all transactions are accounted for.
BEGINNING HOLDINGS
TOTAL PURCHASES/ACQUISITIONS DURING THE SETTLEMENT CLASS PERIOD
PURCHASES/ACQUISITIONS DURING THE 90-DAY LOOKBACK PERIOD
TOTAL SALES DURING THE SETTLEMENT CLASS PERIOD AND DURING THE 90-DAY LOOKBACK PERIOD
ENDING HOLDINGS
BALANCE CONFIRMATION
Outstanding Shares
This field shows the number of shares that are outstanding based on what you have entered in the Beginning Holdings, Purchases, Sales, and Ending Holdings fields. When all shares are accounted for, the balance in this field will be zero.
Balance Check Error*

SCHEDULE OF TRANSACTIONS IN APPHARVEST WARRANTS
Complete this part if, and only if, you purchased/acquired AppHarvest warrants during the period between February 1, 2021 and August 10, 2021, inclusive. Please include proper documentation with your Claim Form as described in detail in Identification of Transactions, above. Do not include information in this section regarding securities other than AppHarvest warrants.
BEGINNING HOLDINGS*
State the total number of warrants held as of the close of trading on January 31, 2021. If none, enter 0. (Must be documented.) Be sure to attach documentation verifying your holdings such as an account statement.
PURCHASES/ACQUISITIONS DURING THE SETTLEMENT CLASS PERIOD
Separately list each and every purchase/acquisition of warrants from after the opening of trading on February 1, 2021 and through the close of trading on August 10, 2021. (Must be documented.) Be sure to attach documentation verifying your transactions.
Date of Purchase (List Chronologically) (MM/DD/YY) Number of Warrants Purchased Purchase Price Per Warrant Total Purchase Price (excluding taxes, commissions, and fees)
PURCHASES/ACQUISITIONS DURING THE 90-DAY LOOKBACK PERIOD*
State the total number of warrants purchased/acquired between August 11, 2021 and November 8, 2021, inclusive. If none, enter 0. (Must be documented.)
SALES DURING THE SETTLEMENT CLASS PERIOD AND DURING THE 90-DAY LOOKBACK PERIOD
Separately list each and every sale/disposition of warrants from after the opening of trading on February 1, 2021 through and including the close of trading on November 8, 2021. (Must be documented.) Be sure to attach documentation verifying your transactions.
Date of Sale (List Chronologically) (MM/DD/YY) Number of Warrants Sold Sale Price Per Warrant Total Sale Price (excluding taxes, commission s, and fees)
ENDING HOLDINGS*
State the total number of warrants held as of the close of trading on November 8, 2021. If none, enter 0. (Must be documented.) Be sure to attach documentation verifying your holdings such as an account statement.
BALANCE CHECK
Below is a summary of the transactions you entered. Your Beginning Holdings plus Purchases/Acquisitions minus Sales and Ending Holdings should equal zero. Please correct any errors below to ensure that all transactions are accounted for.
BEGINNING HOLDINGS
TOTAL PURCHASES/ACQUISITIONS DURING THE SETTLEMENT CLASS PERIOD
PURCHASES/ACQUISITIONS DURING THE 90-DAY LOOKBACK PERIOD
TOTAL SALES DURING THE SETTLEMENT CLASS PERIOD AND DURING THE 90-DAY LOOKBACK PERIOD
ENDING HOLDINGS
BALANCE CONFIRMATION
Outstanding Shares
This field shows the number of shares that are outstanding based on what you have entered in the Beginning Holdings, Purchases, Sales, and Ending Holdings fields. When all shares are accounted for, the balance in this field will be zero.
Balance Check Error*

SUBMISSION TO JURISDICTION OF COURT AND ACKNOWLEDGMENTS
By signing and submitting this Claim Form, the claimant(s) or the person(s) acting on behalf of the claimant(s) certify(ies) that: I (We) submit this Claim Form under the terms of the Stipulation described in the accompanying Notice. I (We) also submit to the jurisdiction of the United States District Court for the Southern District of New York (the “Court”) with respect to my (our) claim as a Settlement Class Member(s) and for purposes of enforcing the releases set forth herein. I (We) further acknowledge that I (we) will be bound by the terms of any judgment entered in connection with the Settlement in the Action, including the releases set forth therein. I (We) agree to furnish additional information to the Claims Administrator to support this claim, such as additional documentation for transactions in eligible AppHarvest securities, if required to do so. I (We) have not submitted any other claim covering the same transactions in AppHarvest securities during the Settlement Class Period and know of no other person having done so on my (our) behalf.
RELEASES, WARRANTIES, AND CERTIFICATION
1. I (We) hereby warrant and represent that I am (we are) a Settlement Class Member as defined in the Notice, that I am (we are) not excluded from the Settlement Class, that I am (we are) not one of the “Released Defendant Parties” as defined in the Notice.

2. As a Settlement Class Member, I (we) hereby acknowledge full and complete satisfaction of, and do hereby fully, finally, and forever settle, release, and discharge with prejudice the Released Claims as to each and all of the Released Defendant Parties (as these terms are defined in the Notice). This release shall be of no force or effect unless and until the Court approves the Settlement and it becomes effective on the Effective Date.

3. I (We) hereby warrant and represent that I (we) have not assigned or transferred or purported to assign or transfer, voluntarily or involuntarily, any matter released pursuant to this release or any other part or portion thereof.

4. I (We) hereby warrant and represent that I (we) have included information about all of my (our) purchases, acquisitions and sales of AppHarvest securities that occurred during the Settlement Class Period and the number of shares of securities held by me (us), to the extent requested.

5. I (We) certify that I am (we are) NOT subject to backup tax withholding.

I (We) declare under penalty of perjury under the laws of the United States of America that all of the foregoing information supplied on this Claim Form by the undersigned is true and correct
Signature of Claimant*

Please type the name of the Claimant. If this claim is being made on behalf of Joint Claimants, then each must sign
Signature of Joint Claimant

Please type the name of the Joint Claimant
Capacity of person(s) signing

(Capacity of person(s) signing, e.g., Beneficial Purchaser, Executor or Administrator)
Date*
MM slash DD slash YYYY
Hidden
FormID

Date of Purchase (List Chronologically) (mm/dd/yyyy)	Number of Shares Purchased	Purchase Price Per Share	Total Purchase Price (Excluding Commissions, Taxes, and Fees)

Date of Sale (List Chronologically) (mm/dd/yyyy)	Number of Shares Sold	Sale Price Per Share	Total Sale Price (Excluding Commissions, Taxes, and Fees)

Date of Purchase (List Chronologically) (MM/DD/YY)	Number of Warrants Purchased	Purchase Price Per Warrant	Total Purchase Price (excluding taxes, commissions, and fees)

Date of Sale (List Chronologically) (MM/DD/YY)	Number of Warrants Sold	Sale Price Per Warrant	Total Sale Price (excluding taxes, commission s, and fees)

In re AppHarvest Securities Litigation Proof of Claim and Release

Step 1 of 7 - Help

GENERAL INSTRUCTIONS

CLAIMANT IDENTIFICATION

IDENTIFICATION OF TRANSACTIONS

CLAIMANT INFORMATION

SCHEDULE OF TRANSACTIONS IN APPHARVEST COMMON STOCK

BALANCE CHECK

BALANCE CONFIRMATION

SCHEDULE OF TRANSACTIONS IN APPHARVEST WARRANTS

BALANCE CHECK

BALANCE CONFIRMATION

SUBMISSION TO JURISDICTION OF COURT AND ACKNOWLEDGMENTS

RELEASES, WARRANTIES, AND CERTIFICATION