Claim Form – Bio Profit Litigation

DEADLINE FOR FILING THE CLAIM FORM: This Claim Form must be submitted no later than January 4, 2023.

Failure to timely submit a claim shall result in a waiver of any rights to participate in any distribution of proceeds from the settlement in the action called Yao-Yi Liu, Tung-Hung Hsieh, and Chiu-Pao Tsai v. Wilmington Trust Company, et al., Civil Action No. 14 CV 6631 (the “Class Action”), currently pending in the United States District Court of the Western District of New York (the “Settlement”).

Before completing this Claim Form, please read the Notice of Pendency of Class Action, Proposed Settlement, Motion for Attorneys’ Fees and Expenses, and Service Awards (“Notice”).

Providing false, misleading or incomplete information/documentation may delay any disbursement from this Settlement and could jeopardize your right to a distribution.

DEFINITIONS

1. “Settlement Class” or “Settlement Class Member” means all persons and entities that purchased or acquired the Bio Profit Funds and were allegedly damaged thereby. Excluded from the Settlement Class are (i) Defendants; (ii) any person who was an officer or director of Defendants; (iii) any firm or entity in which any Defendants have or had a controlling interest; (iv) the parents or subsidiaries of Defendants; (v) the legal representatives, agents, heirs, beneficiaries, successors-in-interest, or assigns of any excluded person or entity, in their respective capacity as such; and (vi) any persons or entities who or which exclude themselves by submitting a valid request for exclusion that is accepted by the Court.

2. “Defendants” means Wilmington Trust Company and/or Wilmington Trust, National Association.

Please attach the completed claim form and provide any additional documentation requested. If you disagree with any of the information on the form you received, please include the additional documentation requested.

Please attach any documentation requested. You will enter your personal information and transactions in the following steps.

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 at the address above. Complete names of all persons and entities must be provided.

I (We) submit this Claim Form and Release under the terms of the Stipulation and Agreement of Settlement dated as of August 12, 2022 described in the Notice. I (We) also submit to the jurisdiction of the United States District Court for the Western District of New York, with respect to my (our) claim as a Settlement Class Member (as defined above) and for purposes of enforcing the release set forth herein. I (We) further acknowledge that I am (we are) bound by and subject to the terms of any judgment that may be entered in the Litigation. I (We) agree to furnish additional information to the Claims Administrator or Plaintiffs’ Class Counsel to support this claim if required to do so. I (We) have not submitted any other claim covering the investment or contribution to the Bio Profit Funds and know of no other Person having done so on my (our) behalf.

1. Class Representatives and the Settlement Class do hereby forever release and discharge the Defendants from any and all claims and causes of action of every nature and description, whether known or Unknown (as defined in the Notice), contingent or absolute, mature or not mature, discoverable or undiscoverable, liquidated or unliquidated, accrued or not accrued, including those that are concealed or hidden, regardless of legal or equitable theory and whether arising under federal, state, common, or foreign law, that Plaintiffs or any other member of the Settlement Class (a) asserted in the Action; or (b) could have asserted in any forum that arise out of, are based upon, or relate to, directly or indirectly, in whole or in part: (1) the allegations, transactions, facts, matters or occurrences, representations or omissions involved, set forth, or referred to in the Action and that relate to an investment in the Bio Profit Funds; or (2) Defendants’ and/or their attorneys’ defense or settlement of the Action and/or the claims alleged therein.

2. I (We) hereby acknowledge full and complete satisfaction of, and do hereby fully, finally and forever settle, release, relinquish and discharge, all of the released claims against the Defendants and each of Wilmington’s past, present, or future parents, holding companies, subsidiaries, affiliates, vendors, agents, successors, assignors, assignees, and/or assigns and their respective subsidiaries, affiliates, vendors, agents, successors, assignors, assignees, and/or assigns, and each of their respective present, former, or future officers, directors, shareholders, employees, representatives, consultants, accountants, and attorneys.

3. This release shall be of no force or effect unless and until the Court issues a Final Judgment approving the Settlement Agreement and it becomes effective on the Effective Date.

4. 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.

5. I (We) hereby warrant and represent that I (we) have reviewed the investment information above and/or included transaction information about all of my (our) investments in Bio Profit Funds covered by the Claim Form and Release, and any sales of my (our) investments in Bio Profit Funds.

6. UNDER THE PENALTY OF PERJURY, I (WE) CERTIFY THAT:
(a) the number shown on this form is the correct social security/tax identification number; and
(b) I (we) certify that I am (we are) NOT subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code because: (i) I am (we are) exempt from backup withholding; or (ii) I (we) have not been notified by the Internal Revenue Service that I am (we are) subject to backup withholding as a result of a failure to report all interest or dividends; or (iii) the Internal Revenue Service has notified me (us) that I am (we are) no longer subject to backup withholding.

The Internal Revenue Service does not require your consent to any provision of this document other than the certification required to avoid backup withholding.

I (We) declare and certify that I (we) understand that, by executing this Release and Certification, I (we) are specifically releasing and giving up forever all of the Released Claims against the Released Parties.

I (We) declare under penalty of perjury under the laws of the United States of America that the foregoing information supplied by the undersigned is true and correct.