Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_06-cv-00430/USCOURTS-cand-4_06-cv-00430-12/pdf.json

Nature of Suit Code: 710
Nature of Suit: Fair Labor Standards Act
Cause of Action: 28:1331 Fed. Question: Fair Labor Standards

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1/11/07

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORN

I

A

IT IS SO ORDERED

Judge Phyllis J. Hamilton

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Exhibit I

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578408.10

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

THOMAS ROSENBURG et al., on behalf of 

themselves and classes of those similarly situated,

Plaintiffs, 

v.

INTERNATIONAL BUSINESS 

MACHINES CORPORATION,

Defendant.

Case No. CV 06-00430 PJH

[PROPOSED] ORDER 

(1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES AND 

COLLECTIVE ACTION,

(2) GRANTING PRELIMINARY 

APPROVAL TO PROPOSED CLASS 

ACTION SETTLEMENT AND PLAN 

OF ALLOCATION, (3) DIRECTING 

DISSEMINATION OF NOTICE AND 

CLAIM FORM TO THE CLASS,

(4) APPROVING RELEASES AND 

(5) SETTING DATE FOR FAIRNESS 

HEARING AND RELATED DATES

After discovery and two mediation sessions, and notwithstanding their adversarial 

positions in this matter, Plaintiffs and IBM (collectively, the “Parties”) negotiated a settlement of 

this litigation. The terms of the proposed settlement (“Settlement”) are set forth in the proposed 

Joint Stipulation of Settlement and Release of All Claims (“Settlement Agreement,” attached 

hereto as Exhibit 1). 

On November 22, 2006, Plaintiffs filed a Motion For Order Conditional Certifying 

Settlement Classes, Preliminarily Approving Class Action Settlement, Approving Notice and 

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578408.10 -2-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Releases, and Setting Fairness Hearing (“Motion”). In their Motion, the Plaintiffs requested tha t 

this Court grant conditional certification of a nationwide settlement class and certain settlement 

subclasses, together with a co-extensive FLSA collective action. Plaintiffs also requested that the 

Court grant preliminary approval to the Settlement Agreement, including the plan of allocation in 

that Agreement, and that the Court approve a proposed Notice of Proposed Settlement of Class 

Action Lawsuit and Fairness Hearing (“Class Notice,” attached hereto as Exhibit A to the 

Settlement Agreement), a proposed Opt-Out Statement (attached hereto as Exhibit B to the 

Settlement Agreement), a proposed Claim Form (attached hereto as Exhibit C to the Settlement 

Agreement), and individual releases to be signed by Plaintiffs Thomas Rosenburg, James Baxter, 

Robert Carlo, Alan Erece, Marcia Howie, Fnu Kennedy, Vincent Letizio, Sherry Mattson, Steve 

Park, Michelle Peel, Denise Rambsel, Exaldo Topacio, Laurence Tosi III, Robin Daniels, 

Rebecca Taylor, and Frank Vasterling (attached hereto as Exhibit E to the Settlement 

Agreement). Having reviewed the Settlement Agreement and Motion, along with the Parties’ 

prior submissions in this matter, the Court now FINDS, CONCLUDES, AND ORDERS as 

follows:

I. Background

Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling (“Plaintiffs”) 

contend that IBM misclassified certain employees as exempt from the overtime requirements of 

the Fair Labor Standards Act and various state laws. Specifically, Plaintiffs assert that, on behalf 

of themselves and a proposed class and subclasses of persons alleged to be similarly situated,

IBM violated federal and state wage laws by failing to pay overtime, during specified time 

periods, to employees holding positions at IBM that the Company coded as 498Q (bands 6-8), 

498R (bands 6-8), 498S (bands 6-8), 498T (bands 6-8), 498U (bands 6-8), 499A (bands 6-8), 

4325, 5343, 5338, and 594J (bands 6-8). Plaintiffs also contend that, due to this alleged 

misclassification, IBM violated the Employee Retirement Income Security Act by denying certain 

benefit credits allegedly due based upon employees’ purported overtime hours. IBM has 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

disputed, and it continues to dispute, Plaintiffs’ allegations in this lawsuit, and the Company 

denies any liability for any of the claims that have or could have been alleged by Plaintiffs or the 

persons that they seek to represent. 

II. Definition Of The Settlement Class And Subclasses

The Parties have entered into the Settlement Agreement solely for the purposes of 

compromising and settling their disputes in this matter. As part of the Settlement Agreement, 

IBM has agreed not to oppose, for settlement purposes only, conditional certification of the 

following settlement class and subclasses:

1. The Class. The Class includes: (1) all current and former 

IBM employees who are or were employed by IBM in a Covered 

Position Code at any time during the Covered Period, and (2) to the 

extent that they are not included in part (1) of this definition, 

current and former IBM employees who participated in the United 

States Department of Labor, Wage Hour Division, Compliance 

Actions, Case Nos. 1325099 and 1283294.

2. The California Subclass. The California Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in California at any time during 

the Covered Period applicable to persons employed in that State.

3. The Kentucky Subclass. The Kentucky Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in Kentucky at any time during 

the Covered Period applicable to persons employed in that State. 

4. The New York Subclass. The New York Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in New York at any time 

during the Covered Period applicable to persons employed in that 

State. 

For purposes of these definitions, the term “Covered Position Code” means the positions 

at IBM that the Company coded as 498Q (bands 6-8), 498R (bands 6-8), 498S (bands 6-8), 498T 

(bands 6-8), 498U (bands 6-8), 499A (bands 6-8), 4325, 5343, 5338, and 594J (bands 6-8). The 

term “Covered Period” means: (A) for employees who worked in Covered Position Codes in 

New York, January 24, 2000 to the date of the Order Granting Preliminary Approval of 

Settlement; (B) for employees who worked in Covered Position Codes in Kentucky, October 2, 

2001 until the date of the Order Granting Preliminary Approval of Settlement; (C) for employees 

who worked in Covered Position Codes in California, from January 24, 2002 to the date of the 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Order Granting Preliminary Approval of Settlement; (E) for employees who worked in Covered 

Position Codes in Illinois and Minnesota, from March 13, 2003 to the date of the Order Granting 

Preliminary Approval of Settlement; and (F) for employees who worked in Covered Position 

Codes in all other states, from April 19, 2003 to the date of the Order Granting Preliminary 

Approval of Settlement.

On behalf of the Class, based on allegations that they were misclassified as exempt from 

overtime pay requirements, Plaintiffs assert claims for overtime pay under the FLSA and the laws 

of various states, and claims for benefit credits under ERISA. On behalf of the California 

Subclass, based on allegations that they were misclassified as exempt, Plaintiffs assert claims for 

overtime and premium payments, missed meal breaks, waiting time penalties, recordkeeping 

violations and a violation of the Unfair Competition Law. On behalf of the Kentucky Subclass, 

based on allegations that they were misclassified as exempt, Plaintiffs assert claims for overtime 

pay and recordkeeping violations. On behalf of the New York Subclass, based on claims that 

they were misclassified as exempt, Plaintiffs assert claims for overtime pay and spread-of-hours 

pay. 

III. Designation Of The Class As An FLSA Collective Action

The Court finds that the members of the Class are similarly situated within the meaning of 

Section 216(b) of the Fair Labor Standards Act, 29 U.S.C. § 216(b), for purposes of determining 

whether the terms of settlement are fair. Accordingly, the Court conditionally certifies the Class 

as an FLSA collective action. The Court authorizes the Notice, Exhibit A to the Settlement 

Agreement, to be mailed to potential members of the FLSA collective action, notifying them of 

the pendency of the FLSA claim, and of their ability to joint their claims. Putative members of 

the FLSA collective action who wish to join that claim must sign the Claim Form, Exhibit C to 

the Settlement Agreement, and return it by mail to the Claims Administrator, such that it is 

received by the Claims Administrator within 70 days of the mailing of the Notice and Claim 

Form. 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

IV. Rule 23 Certification of the Class And Subclasses

In examining potential conditional certification of the nationwide settlement class and 

subclasses, the Court has considered: (1) the allegations, information, arguments, and authorities 

cited in the Motion for Preliminary Approval and supporting memorandum and declarations; 

(2) the allegations, information, arguments, and authorities provided by the Parties in connection 

with the pleadings and other motions filed by each of them in this case; (3) information, 

arguments, and authorities provided by the Parties in multiple conferences and arguments before 

this Court; (4) IBM’s conditional agreement, for settlement purposes only, not to oppose 

conditional certification of the settlement class and subclasses specified in the Settlement 

Agreement; (5) the terms of the Settlement Agreement, including, but not limited to, the 

definition of the settlement class and subclasses specified in the Settlement Agreement; and 

(6) the elimination of the need, on account of the Settlement, for the Court to consider any 

potential trial manageability issues that might otherwise bear on the propriety of class 

certification.

In connection with certifying the Class and Subclasses, the Court makes the following 

findings:

a. The Class and Subclasses each have more than 100 members, and therefore 

each is therefore sufficiently numerous that joinder of all Class or Subclass Members is 

impracticable;

b. There are questions of law or fact common to all Class and Subclass

Members, including whether the Class and Subclass Members were properly classified as exempt 

from overtime and whether they regularly exercised independent judgment and discrimination on 

matters of substantial importance; 

c. The Class and Subclass Representatives’ claims are typical of their 

respective Classes’ claims in that the Class Representatives raise the same claims as the Class 

Members;

d. The Class and Subclass Representatives can fairly and adequately represent 

the their respective Classes’ interests, in that (1) Class Representatives have retained counsel who 

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578408.10 -6-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

are qualified and experienced in the issues raised in this litigation, and (2) none of the Class 

Representatives ha s any apparent interests antagonistic to the interests of the classes they seek to 

represent;

e. The common questions of law and fact set forth in paragraph b., above, 

predominate over any questions affecting only individual members;

f. The class action device is superior to all other available methods for fairly 

and efficiently settling this matter.

Based on those considerations and findings, the Court hereby finds that the Class and 

Subclasses proposed in this matter are readily identifiable and that the requirements of Federal 

Rule of Civil Procedure 23(a) are satisfied, including numerosity, commonality, typicality, and 

adequacy of the representatives and their counsel. 

The Court further concludes that the requirements of Federal Rule of Civil Procedure 

23(b)(3) are satisfied because questions of law and fact common to the members of the settlement 

class and subclasses (“Class Members”) predominate over any questions affecting only individual 

members and that a settlement class is superior to other available methods for the fair and 

efficient adjudication of this matter.

Therefore, solely for the purpose of determining whether the terms of settlement are fair, 

reasonable, and adequate, the Court conditionally certifies pursuant to Rule 23(a) and (b)(3) of 

the Federal Rules of Civil Procedure the following: (1) the Class; (2) the California Subclass; (3) 

the Kentucky Subclass; and (4) the New York Subclass, as defined in Section II, above. 

V. Appointment Of Class Representatives And Class Counsel

Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling (“Plaintiffs”)

are appointed as class representatives of the Class, both under Rule 23 and unde 29 U.S.C. 

§ 216(b). Thomas Rosenburg and Alan Erece are appointed as class representatives of the 

California Subclass. Frank Vasterling is appointed as class representative of the Kentucky 

Subclass. Exaldo Topacio is appointed as class representative of the New York Subclass. 

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578408.10 -7-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

The following law firms are appointed as class counsel for the Class and Subclasses 

(“Class Counsel”): James M. Finberg and Eve H. Cervantez of Altshuler Berzon, LLP; Kelly M. 

Dermody, Rachel Geman and Jahan C. Sagafi of Lieff, Cabraser, Heimann & Bernstein, LLP; 

Steven G. Zieff, David Lowe, and Kenneth J. Sugarman of Rudy, Exelrod & Zieff, LLP; Todd F. 

Jackson, Claire Kennedy-Wilkins, and Lindsay Nako of Lewis, Feinberg, Renaker & Jackson, 

P.C.; Adam T. Klein, Justin M. Swartz, and Piper Hoffman of Outten & Golden, LLP; Ira Spiro 

and Gregory N. Karasik of Spiro, Moss, Barness, Harrison & Barge, LLP; J. Derek Braziel of Lee 

& Braziel, LLP; Richard Burch of Bruckner Burch, PLLC; and David Borgen and Roberta Steele 

of Goldstein, Demchak, Baller, Borgen and Dardarian.

VI. Disposition Of Settlement Class And Subclasses If Settlement Agreement Does Not 

Become Effective

If, for any reason, the Settlement Agreement ultimately does not become effective, IBM’s 

agreement not to oppose conditional certification of the settlement class and subclasses shall be 

null and void in its entirety; this Order conditionally certifying the settlement class and subclasses 

shall be vacated; the Parties shall return to their respective positions in this lawsuit as those 

positions existed immediately before the Parties executed the Settlement Agreement; and nothing 

stated in the Settlement Agreement, the Motion, this Order, or in any attachments to the foregoing 

documents shall be deemed an admission of any kind by any of the Parties or used as evidence 

against, or over the objection of, any of the Parties for any purpose in this action or in any other 

action. In particular, the class and subclasses certified for purposes of settlement shall be 

decertified, and IBM will retain the right to contest whether this case should be maintained as a 

class action or collective action and to contest the merits of the claims being asserted by 

Plaintiffs. In such a case, the Parties will negotiate and submit for Court approval a case schedule 

which shall, among other things, propose dates for completion of class certification and merits 

discovery and the filing of motions (and opposition thereto), including but not limited to 

Plaintiffs’ motion for Hoffman-LaRoche notice, Plaintiffs’ motion for class certification under 

Fed. R. Civ. P. 23, and Defendant’s summary judgment motions. Further, if a mutually agreed 

upon class settlement is not approved, the Parties agree that the stipulation regarding tolling they 

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578408.10 -8-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

filed with the Court on November 8, 2006 shall be amended such that the end date for the tolling 

period referenced in paragraph 3 of that stipulation shall be the later of: (1) the date the Court 

denies the Motion for Order Conditionally Certifying Settlement Classes and Preliminarily 

Approving Class Action Settlement, or (2) if such motion is timely filed, the date the Court denies 

the Parties’ joint motion for reconsideration of such denial. All other provisions regarding tolling 

in that stipulation shall remain in full force and effect.

VII. Preliminary Approval Of The Terms Of The Settlement Agreement, Including The 

Proposed Plan Of Allocation

The Court has reviewed the terms of the Settlement Agreement attached as Exhibit 1, and 

the Parties’ description of the Settlement in the Motion papers. Based on that review, the Court 

concludes that the Settlement has no obvious defects and is within the ranges of possible 

Settlement approval such that notice to the Class is appropriate.

The Court has also read and considered the declarations of James Finberg and Steven 

Zieff in support of preliminary approval. Based on review of those declarations, the Court 

concludes that the Settlement was negotiated at arms length and is not collusive. The Court 

further finds that Class Counsel were fully informed about the strengths and weaknesses of the 

Class’s case when they entered into the Settlement Agreement.

As to the proposed plan of allocation, the Court finds that the proposed plan is rationally 

related to the relative strengths and weaknesses of the respective claims asserted. The proposed 

plan of allocation is also within the range of possible approval such that notice to the Class is 

appropriate.

Accordingly, the Court hereby grants preliminary approval to the Settlement Agreement 

and the Plan of Allocation.

VIII. Approval Of The Form And Manner Of Distributing Class Notice, Opt-Out 

Statement, And Claim Form 

Plaintiffs have also submitted for this Court’s approval a proposed Class Notice, Opt-Out 

Statement, and a proposed Claim Form. The Court now considers each of these documents in 

turn.

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578408.10 -9-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

The proposed Class Notice appears to be the best notice practical under the circumstances 

and appears to allow Class Members a full and fair opportunity to consider the proposed 

Settlement and develop a response. The proposed plan for distributing the Class Notice, and the 

Opt-Out Statement and Claim Form, which are to be attached to the Class Notice, likewise 

appears to be a reasonable method calculated to reach all members of the Class who would be 

bound by the Settlement. Under this plan, the Claims Administrator will distribute the Class 

Notice to Class Members by first class U.S. Mail. There appears to be no additional method of 

distribution that would be reasonably likely to notify Class Members who may not receive notice 

pursuant to the proposed distribution plan.

The Class Notice and Opt-Out Statement fairly, plainly, accurately, and reasonably 

informs Class Members of: (1) appropriate information about the nature of this litigation, the 

settlement class and subclasses at issue, the identity of Class Counsel, and the essential terms of 

the Settlement Agreement and Settlement; (2) appropriate information about Class Counsel’s 

forthcoming application for attorneys’ fees, the proposed service payments to Plaintiffs, and other 

payments that will be deducted from the settlement fund; (3) appropriate information about how 

to participate in the Settlement; (4) appropriate information about this Court’s procedures for final 

approval of the Settlement Agreement and Settlement; (5) appropriate information about how to 

challenge or opt-out of the Settlement, if they wish to do so; and (6) appropriate instructions as to 

how to obtain additional information regarding this litigation, the Settlement Agreement, and the 

Settlement. Similarly, the proposed Claim Form appears to allow members of the settlement 

class and subclasses a full and fair opportunity to submit a claim for proceeds in connection with 

the Settlement. Moreover, the Claim Form fairly, accurately, and reasonably informs Class 

Members that failure to complete and submit a Claim Form, in the manner and time specified, 

shall constitute a waiver of any right to obtain any share of the Settlement Payment. 

The Court, having reviewed the proposed Class Notice, Opt-Out Statement, and Claim

Form (collectively “Notice Materials”), finds and concludes that the proposed plan for 

distributing the same will provide the best notice practicable, satisfies the notice requirements of 

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578408.10 -10-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Rule 23(e), and satisfies all other legal and due process requirements. Accordingly, the Court 

hereby Orders as follows:

1. The form and manner of distributing the proposed Notice 

Materials are hereby approved.

2. Promptly following the entry of this Order, the Claims 

Administrator shall prepare final versions of the Notice Materials, 

incorporating into the Notice the relevant dates and deadlines set forth in 

this Order.

3. Within 30 days of the date of entry of this Order, IBM will 

provide the Claims Administrator with the information regarding Class 

Members specified in the Settlement Agreement.

4. Within 45 days of the date of this Order, the Claims 

Administrator shall mail, via first class United States mail, postage 

prepaid, the final version of the Class Notice, along with the Opt-Out 

Statement and Claim Form, using each Class Member’s last known 

address as recorded in IBM’s human resource records. The Claims 

Administrator shall take all reasonable steps to obtain the correct address

of any Class Members for whom the notice is returned by the post office 

as undeliverable and otherwise to provide the Class Notice. The Claims 

Administrator shall notify Class Counsel of any mail sent to Class 

Members that is returned as undeliverable after the first mailing as well as 

any such mail returned as undeliverable after any subsequent mailing(s). 

In no event shall the Claims Administrator make any mailing to any Class 

Member more than 60 days after the initial mailing.

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578408.10 -11-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

5. The Claims Administrator shall take all other actions in 

furtherance of claims administration as are specified in the Settlement 

Agreement. 

IX. Procedures For Final Approval Of The Settlement

A. Fairness Hearing

The Court hereby schedules, for the 11th day of July, 2007, at the hour of 9:00 a.m., a 

hearing to determine whether to grant final certification of the Settlement Class and Subclasses,

and the FLSA collective action, and final approval of the Settlement Agreement and the Plan of 

Allocation (the “Fairness Hearing”). At the Fairness Hearing, the Court also will consider any 

petition that may be filed for the payment of attorneys’ fees and expenses to Class Counsel, and 

any service payment to be made to the class representatives.

B. Deadline To Request Exclusion From The Settlement

Class Members who wish to be excluded from the Settlement must submit a written and 

signed request to opt out to the Claims Administrator using the form (“Opt-Out Statement”) 

provided with the Class Notice. To be effective, any such Opt-Out Statement must be sent to the 

Claims Administrator at the address provided in the Class Notice via First Class United States 

Mail, postmarked by 60 days after the Claims Administrator mails the Class Notice.

The Claims Administrator shall stamp the postmark date on the original of each Opt-Out 

Statement that it receives and shall serve copies of each Opt-Out Statement on Class Counsel and 

IBM’s Counsel, as specified in the Settlement Agreement, not later than three calendar days after 

receipt thereof. The Claims Administrator also shall, within three business days of the end of the 

Opt-Out Period, file with the Clerk of Court, with social security numbers redacted, stamped 

copies of any Opt-Out Statements. The Claims Administrator shall, within three business days of 

the end of the Opt-Out Period, send a final list of all Opt-out Statements to Class Counsel and 

IBM’s Counsel by both facsimile and overnight delivery. The Claims Administrator shall retain 

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578408.10 -12-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Out Statements in its files until such time as the Claims Administrator is relieved of its duties and 

responsibilities under the terms of the Settlement Agreement.

C. Deadline For Class Counsel To File A Petition For An Award Of Attorneys’ 

Fees And Reimbursement Of Expenses.

Class Counsel shall file with this Court their petition for an award of attorneys’ fees and 

reimbursement of expenses no later than 35 days before the Fairness Hearing. Class Counsel may 

file a reply to any opposition memorandum filed by any objector no later than 14 days before the 

Fairness Hearing.

D. Deadline For Class Counsel To File A Petition For Approval Of Service

Payments To Plaintiffs.

Class Counsel shall file with this Court their petition for an award of service payments to 

Plaintiffs Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling no later than 35

days before the Fairness Hearing. Class Counsel may file a reply to any opposition memorandum 

filed by any objector no later than 14 days before the Fairness Hearing.

E. Deadline For Filing Objections To Settlement

Any Class Member who wishes to object to the fairness, reasonableness or adequacy of 

the Settlement Agreement or the Settlement must do so in writing. To be considered, any such 

objection must be sent to the Claims Administrator, at the address provided in the Class Notice, 

via First-Class United States mail, postage prepaid. In addition, any such objection must be 

received by the Claims Administrator no later than 60 days after the date the Class Notice is 

mailed to such Class Member. An objector who wishes to appear at the Fairness Hearing, either 

in person or through counsel hired by the objector, must state his or her intention to do so at the 

time the objector submits his/her written objections. 

The Claims Administrator shall stamp the date received on the original and send copies of 

each objection to the Parties by facsimile and overnight delivery not later than three calendar days 

after receipt thereof. The Claims Administrator shall also file the date-stamped originals of any 

objections with the Clerk of Court within three business days after the Opt-Out Period. On or 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

before 14 days before the Fairness Hearing, the Parties may file with the Court written responses 

to any filed objections.

F. Deadline For Filing Motion For Judgment And Final Approval

No later than 35 days before the Fairness Hearing, Plaintiffs and IBM will submit a joint 

Motion for Judgment and Final Approval of the Settlement Agreement and Settlement.

G. Deadline For Submitting Claim Forms

A Class Member who does not opt out will be eligible to receive his or her proportionate 

share of the settlement benefit. To receive this share, such a Class Member must properly and 

timely complete a Claim Form in accordance with the terms of the Settlement. Completion of the 

Claim Form includes: (1) an oath that, at some point during the applicable period, he or she 

worked overtime; (2) an acknowledgement that, by signing the Claim Form, he or she opts in to 

the case pursuant to 29 U.S.C. § 216(b); and (3) a release of claims consistent with that set forth 

in the Notice. To be effective, the Claim Form must be sent to the Claims Administrator at the 

address provided in the Class Notice by First Class United States Mail, postage prepaid, and must 

be received by the Claim Administrator within 70 days after the mailing of the Class Notice. 

H. Plaintiffs’ And Class Members’ Release

If, at the Fairness Hearing, this Court grants Final Approval to the Settlement Agreement 

and Settlement, Plaintiffs and each individual Class Member who does not timely opt out will 

release claims, by operation of this Court’s entry of the Judgment and Final Approval, as 

described in Section 4 of the Settlement Agreement, regardless of whether he or she submits a 

Claim Form or receives any share of the Settlement Fund. The Court has reviewed the release in 

the Settlement Agreement, which is incorporated as well into the Claim Form, and finds it to be 

fair, reasonable, and enforceable.

I. Releases of Class Representatives

In addition, Plaintiffs Rosenburg, Baxter, Carlo, Erece, Howie, Kennedy, Letizio, 

Mattson, Park, Peel, Rambsel, Topacio, Tosi, Daniels, Taylor, and Vasterling will execute 

individual releases in exchange for any court-approved service payments. The Court has 

reviewed these individual releases and finds them to be fair, reasonable, and enforceable.

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

J. Opt-In Form Of Daniel Cribb

Class Counsel has filed a Notice of Withdrawal of Opt-In Form of Daniel Cribb. 

Accordingly, the Court hereby approves such notice and the Opt-In Form of Daniel Cribb is 

deemed withdrawn.

DATED: ___________________ _____________________________________

Hon. Phyllis J. Hamilton

United States District Judge

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Exhibit 1

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Certifying Settlement Classes and Preliminarily Approving Class Action Settlement or 

(2) if such motion is timely filed, the date the Court denies the Parties’ joint motion for 

reconsideration of such denial. All other provisions regarding tolling in that stipulation 

shall remain in full force and effect.

2.3 Class Notice. 

(A) Within 30 calendar days of the date of the Order Granting Preliminary Approval, 

IBM will provide the Claims Administrator with a list, in electronic form, of the 

names, last known addresses, employee serial numbers and Social Security 

numbers, of all Class Members.

(B) Within 15 calendar days after receiving the information described in Section 

2.3(A), the Claims Administrator shall mail, via First Class United States mail, 

postage prepaid, the Notice of Proposed Settlement of Class Action Lawsuit and 

Fairness Hearing in the form attached as Exhibit A, the Opt-Out Statement in the 

form attached as Exhibit B, and the Claim Form and Release in the form attached 

as Exhibit C, to all Class Members using each individual’s last known address as 

recorded in Defendant’s human resources records. The Claims Administrator 

shall take all reasonable steps to obtain the correct address of any Class Members 

for whom the notice is returned by the post office as undeliverable and shall

attempt remailings as described below. The Claims Administrator shall notify 

Class Counsel and Defendant’s Counsel of any mail sent to Class Members that is 

returned as undeliverable after the first mailing as well as any such mail returned 

as undeliverable after any subsequent mailing(s) as set forth below.

2.4 Class Member Opt-Out. 

(A) Any Class Member may request exclusion from the Class by “opting out.” Class 

Members who choose to do so must submit a written and signed request for 

exclusion to the Claims Administrator, in the form attached as Exhibit B, which 

will be attached to the Notice described in Section 2.3. To be effective, such OptOut Statements must be sent via First Class United States Mail and postmarked by 

a date certain to be specified on the Notice of Proposed Class Action Lawsuit and 

Fairness Hearing, which will be 60 calendar days after the Claims Administrator 

makes the initial mailing of the Notice. The Claims Administrator shall attempt 

remailings to Class Members for whom the Notice is returned by the post office 

as undeliverable, but in no event shall the Claims Administrator attempt 

remailings of the Notice to any Class Member more than 60 calendar days after 

the date of the initial mailing under Section 2.3(B). The end of the “Opt-Out 

Period” shall be 70 calendar days after the last day on which the Claims 

Administrator makes the initial mailing under Section 2.3(B). 

(B) The Claims Administrator shall stamp the postmark date on the original of each 

Opt-Out Statement that it receives and shall serve copies of each Statement on 

Class Counsel and Defendant’s Counsel not later than 3 calendar days after 

receipt thereof. The Claims Administrator also shall, within 3 business days of 

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Exhibit A

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578619.2

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

THOMAS ROSENBURG, JAMES R. 

BAXTER, SHERRY MATTSON, STEVE 

PARK, FNU KENNEDY, and EXALDO 

TOPACIO, on behalf of themselves and classes 

of those similarly situated,

Plaintiffs, 

v.

INTERNATIONAL BUSINESS MACHINES 

CORPORATION,

Defendant.

 

Case No. 06-0430 PJH

NOTICE OF PROPOSED 

SETTLEMENT OF CLASS 

ACTION LAWSUIT AND 

FAIRNESS HEARING

TO: CERTAIN PERSONS WHO HAVE WORKED FOR INTERNATIONAL 

BUSINESS MACHINES CORPORATION (“IBM” OR “DEFENDANT”) IN 

BANDS 6-8 OF POSITION CODES 499A, 498Q, 498R, 498S, 498T, 498U, OR 

594J, OR IN POSITION CODES 4325, 5338 OR 5343 (“CLASS MEMBERS”).

Based on information in IBM’s records, you may be a Class Member who is entitled to 

participate in the proposed $65 million settlement of the case captioned Thomas Rosenburg, et al. 

v. International Business Machines Corporation (the “Lawsuit”). Please read this Notice 

carefully. It contains important information about your rights concerning the class action 

settlement described below.

As described more fully below, to participate in the settlement, you must submit a properly 

completed Claim Form and Release in time for the Claims Administrator to receive it by [DATE]. 

If you fail to turn in a timely Claim Form and Release, you will receive no monetary distribution 

from the settlement. Unless you “Opt Out” of the Lawsuit and the settlement by submitting an 

Opt-Out Statement postmarked by [DATE], you will be bound by the terms of this settlement, 

regardless of whether you submit a Claim Form and Release or receive money.

Class Members are encouraged to participate in this settlement. The law prohibits 

retaliation against current or former employees who participate in settlements. 

Participation does not change the settlement amount that IBM will pay, because IBM will 

pay the same, fixed amount regardless of the number of Class Members who participate.

Important Deadlines:

• Deadline for the Claim Form and Release: must be mailed in time for the Claims 

Administrator to receive it by [DATE]

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578619.2

• Deadline for the Opt-Out Statement: must be postmarked by [DATE]

• Deadline for objecting to the settlement: must be mailed in time for the Claims 

Administrator to receive it by [DATE]

For assistance completing the enclosed Claim Form and Release or for assistance with 

related matters, please contact the Claims Administrator at [CONTACT INFORMATION]

This Notice explains the nature of the Lawsuit and the terms of the settlement and informs 

you of your rights and obligations. This Notice should not be understood as an expression of any 

opinion by the Court as to the merits of any of the claims or defenses asserted by the parties. This 

Notice contains information about the following topics:

1. What Is This Lawsuit About

2. What Is A Class Action

3. What Is The Purpose Of This Notice

4. Who Is Included In The Lawsuit

5. Who Is Class Counsel

6. What Are The Benefits And Terms Of The Proposed Settlement (including information 

about how you can participate in the Settlement)

7. When Is The Fairness Hearing To Approve Settlement

8. How Can You Object To The Proposed Settlement

9. How Can You Opt Out Of The Settlement

10. How Can You Examine Court Records

11. What If You Have Questions

1. What Is This Lawsuit About

Sixteen current and former employees (“Plaintiffs”) of IBM brought this lawsuit, in which 

they claimed that IBM violated the Fair Labor Standards Act (“FLSA”), the Employee Retirement 

Income Security Act (“ERISA”), and various state wage laws by unlawfully classifying certain 

employees as exempt from receiving overtime pay. Plaintiffs also alleged violations of certain 

state law meal break requirements and other state law wage requirements. Plaintiffs, for 

themselves and for others whom they claim are similarly situated, sought to recover unpaid 

overtime wages and sought to receive credit for overtime wages under IBM’s pension and savings 

plans. Plaintiffs also sought recovery of statutory damages, interest, attorneys’ fees and costs, and 

other relief.

IBM has denied and continues to deny any wrongdoing and denies any and all liability and 

damages to anyone with respect to the alleged facts or causes of action asserted in the Lawsuit. To 

avoid the burden, expense, inconvenience, and uncertainty of continued litigation, however, IBM 

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578619.2

has concluded that it is in its best interests to resolve and settle the Lawsuit by entering into a 

settlement agreement (the “Settlement”).

The Lawsuit is presently before Judge Phyllis J. Hamilton, United States District Judge for 

the United States District Court for the Northern District of California. Judge Hamilton has not 

made any decision on the merits. On [DATE] the Court conditionally certified this matter as a 

class action and granted preliminary approval of the Settlement, subject to a fairness hearing which 

will take place on [DATE]. 

2. What is A Class Action

A class action is a lawsuit in which the claims and rights of many people are decided in a 

single court proceeding. One or more representative plaintiffs, also known as “Plaintiffs” or 

“Class Representatives,” file a lawsuit asserting claims on behalf of the entire class.

3. What Is The Purpose Of This Notice

Judge Hamilton has ordered that this Notice be sent to you because you may be a Class 

Member. The purpose of this Notice is to inform you of the proposed Settlement and of your rights, 

including:

• To inform you of your right to “opt out” of the settlement class, and thereby 

preserve your ability to independently bring any claim that you might have;

• To inform you of your right to file objections to the Settlement;

• To inform you of the steps you must take to receive any share of the settlement 

funds.

4. Who Is Included In The Lawsuit

You are a Class Member if you meet all of the following criteria:

1. Your Position Code was or is: 499A, 498Q, 498R, 498S, 498T, 498U, 594J, 4325, 5338, and/or 

5343 (collectively “Class Positions”);1

2. Your Job Band was or is: 6, 7 or 8 (collectively “Class Job Bands”); and

3. You have been employed by IBM in a Class Position and Class Job Band at any time during 

one or more of the following time periods (“Class Periods”):

a. From January 24, 2002 until [Preliminary Approval Date] in California, or

b. From October 2, 2001 until [Preliminary Approval Date] in Kentucky, or

 1

 The 499A position code is currently called Technical Services Professional in IBM’s job library, and the 

594J position code is currently called IT Specialist in IBM’s job library. However, these positions may be referred to, 

or may in the past have been referred to, by different informal titles. The remaining Class Positions are predecessors to 

the 449A and 594J position codes.

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c. From March 13, 2003 until [Preliminary Approval Date] in Illinois and 

Minnesota, or

d. From January 24, 2000 until [Preliminary Approval Date] in New York, or

e. From April 19, 2003 until [Preliminary Approval Date] in any other state.

You also are a Class Member if you participated in the United States Department of Labor, 

Wage Hour Division, Compliance Actions, Case Nos. 1325099 and 1283294 (“DOL 

Settlements”). 

5. Who Is Class Counsel

The Court has approved and appointed a number of firms to represent all members of the 

Class. Class Counsel can be reached at the following phone number: [___-___-____].

Class Counsel are:

James M. Finberg

Eve H. Cervantez

ALTSHULER BERZON, LLP

177 Post Street, Suite 300

San Francisco, CA 94108

Steven G. Zieff, Esq.

David A. Lowe

Kenneth J. Sugarman

RUDY, EXELROD & ZIEFF, LLP

351 California Street, Suite 700

San Francisco, CA 94104

Adam T. Klein

Justin M. Swartz

Piper Hoffman

OUTTEN & GOLDEN LP

Three Park Avenue, 29th Floor

New York, New York 10016

Todd F. Jackson, Esq.

Claire Kennedy-Wilkins

Lindsay E. Nako

LEWIS, FEINBERG, RENAKER 

 & JACKSON, P.C.

1330 Broadway, Suite 1800

Oakland, CA 94612

Kelly M. Dermody

Jahan C. Sagafi

LIEFF, CABRASER, HEIMANN 

 & BERNSTEIN, LLP

275 Battery Street, 30th Floor

San Francisco, CA 9111

Rachel Geman

LIEFF, CABRASER, HEIMANN 

 & BERNSTEIN, LLP

780 Third Avenue, 48th Floor

New York, New York 10017-2024

Ira Spiro

SPIRO MOSS BARNESS HARRISON 

 & BARGE, LLP

11377 W. Olympic Blvd., Fl. 5

Los Angeles, CA 90064-1625

J. Derek Braziel

LEE & BRAZIEL, LLP

208 N. Market Street

Dallas, Texas 75202

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Richard Burch

BRUCKNER BURCH, PLLC

5847 San Felipe, Suite 3900

Houston, Texas 77057

David Borgen

GOLDSTEIN, DEMCHAK, BALLER, 

 BORGEN & DARDARIAN

300 Lakeside Drive Suite 1000

Oakland, CA 94612

6. What Are The Benefits And Terms Of The Proposed Settlement

Plaintiffs and Defendant have agreed to the Settlement summarized below. The complete 

terms and conditions of the proposed Settlement are on file with the Clerk of Court at the address 

listed below in Section 10. The parties' obligations under the settlement agreement will not 

become effective unless and until it receives final court approval, including the exhaustion of any 

appeals.

a. What are the benefits of the settlement 

Class Members who timely and properly complete and return the Claim Form and Release, 

as described in Section 6.c. below, will be eligible to receive a specified share of a $65 million 

settlement fund (including any interest on the investment of the settlement fund, net of reasonable 

fees and taxes associated with the investment), less certain deductions described below, based on a 

formula approved by the Court. Amounts that are not claimed by Class Members and are not 

necessary to cover expenses and fees associated with the Lawsuit and/or the Settlement will be 

paid to charity. IBM will pay the entire $65 million regardless of how many employees submit a 

Claim Form and Release.

The following adjustments will be made to the $65 million amount prior to distribution of 

the settlement funds to the Class Members:

• Investment Interest: The settlement fund will be invested from December 1, 2006 

until IBM transfers the Settlement Payment to the Claims Administrator. Interest 

earned on this investment will become part of the settlement fund and, after 

payment of taxes and reasonable fees for making the investment, will be distributed 

in proportionate shares to Class Members who take appropriate steps, as described 

more fully below. 

• Settlement Administration Fees: A reserve will be set aside for reasonable costs, 

estimated to be [], associated with administering the Settlement. The reserve will 

be used to pay a claims administration company for mailings, processing claims, 

providing information and assistance to Class Members, and preparing information 

to be reported to the Court.

• Payments to Class Representatives: If the Court approves such payments, each of 6 

Class Representatives will receive $5,000 each (for a total of $30,000). These 

payments are made because these Class Representatives provided service to the 

Class by helping Class Counsel to formulate claims, and providing deposition 

testimony. In addition, if the Court approves such payments, 10 Class 

Representatives will receive $1,500 each (for a total of $15,000). The additional 

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578619.2

payments to these Class Representatives are smaller because they did not provide 

service to the Class to the same extent as did the 6 above-referenced Class 

Representatives, although the group of 10 Class Representatives nonetheless 

provided service to the Class. The payments outlined in this paragraph are separate 

from and in addition to the shares of the settlement fund that these Class 

Representatives may be eligible to receive as Class Members. 

• Attorneys’ Fees: Class Counsel will apply to the Court for attorneys’ fees in the 

amount of 25% of the settlement fund, which amounts to $16.25 million. This 

amount will be requested based on the thousands of hours Class Counsel spent in 

pursuing this case on behalf of the Class Members, the risks that Class Counsel 

took that no fees would ever be recovered, and the result achieved for the class. In 

litigating this matter, Class Counsel reviewed tens of thousands of pages of 

documents produced by IBM, including documents regarding Class Member job 

duties, the classification decision, and IBM’s organization, procedures and policies; 

interviewed approximately a thousand current and former employees; assisted 

dozens of Class Members in preparing sworn declarations; deposed IBM’s 

corporate representatives; defended certain Class Representatives’ depositions; 

drafted and responded to written interrogatories and requests for production of 

documents; opposed IBM’s motion to dismiss parts of the claims in the Lawsuit; 

reviewed and analyzed IBM’s payroll data (including through the use of expert 

statisticians); and otherwise aggressively pursued the case. Class Counsel will also 

apply for an amount not to exceed $250,000 to reimburse Class Counsel for actual 

out-of-pocket expenses paid by Class Counsel to litigate this case. These expenses 

include copying charges, deposition transcripts, expert analysis and similar 

litigation expenses.

The remaining amount in the settlement fund (the “Net Settlement Fund”) will be 

distributed according to the method set forth below in the “How Will My Share Be Calculated If I 

Participate” section.

b. What is the legal effect of participating in the settlement

If the Court grants final approval of the Settlement, in exchange for the $65 million 

payment set forth above, this action will be dismissed with prejudice and Class Members who do 

not opt out will fully release and discharge IBM from any and all claims that are asserted in the 

Lawsuit or that arise from the facts alleged in the Litigation and that arose during any time that 

such Class Members worked in a Class Position and Class Job Band up through and including the 

date that the Court grants final approval of the Settlement. When claims are “released,” that means 

that a person covered by the release cannot sue IBM for any of the claims that are covered by the 

release.

The exact terms of the Release in the Settlement Agreement read: 

“(A) By operation of the entry of the Judgment and Final Approval, 

and except as to such rights or claims as may be created by this 

Agreement, Plaintiffs and each individual Class Member who does 

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578619.2

not timely opt out pursuant to Section 2.4 forever and fully release 

Defendant, its owners, stockholders, predecessors, successors, 

assigns, agents, directors, officers, employees, representatives, 

attorneys, parent companies, divisions, subsidiaries, affiliates, 

benefit plans, plan fiduciaries and/or administrators, and all persons 

acting by, through, under or in concert with any of them, including 

any party that was or could have been named as a defendant in the 

Litigation (collectively, the "Releasees") from any and all past and 

present matters, claims, demands, and causes of action of any kind 

whatsoever, whether at common law, pursuant to statute, ordinance, 

or regulation, in equity or otherwise, and whether arising under 

federal, state, or other applicable law, which any such Class 

Member has or might have, known or unknown, of any kind 

whatsoever, that are based upon or arise out of the facts, acts, 

transactions, occurrences, events or omissions alleged in the 

Litigation and that arose during any time that such Class Member 

worked in a Covered Position Code up until the date of the Order 

granting final approval (“Released Claims”). The Released Claims 

include without limitation claims asserted in the Litigation and any 

other claims based on alleged misclassification under state or 

federal law governing overtime pay, exempt status, denial of meal 

periods and rest breaks, denial of spread of hours pay, failure to pay 

wages upon termination, failure to provide itemized wage 

statements, unfair competition, failure to make payments due to 

Class Members had they been classified as nonexempt, failure to 

provide benefit credits, failure to keep records of hours worked or 

compensation due, and penalties for any of the foregoing, including 

without limitation claims under the Employee Retirement Income 

Security Act (“ERISA”), the Fair Labor Standards Act (“FLSA”), 

the California Unfair Competition Law, Cal. Bus. & Prof. Code § 

17200 et seq., the California Labor Code and related regulations, 

Cal. Labor Code §§ 201, 202, 203, 218, 218.5, 226, 510, 512, 1174, 

1174.5, and 1194, Cal. Wage Order No. 4, the Colorado Minimum 

Wage Act, C.R.S. §§ 8-6-101, 8-6-106, and 8-6-118, the Colorado 

Minimum Wage Order No. 22, the Connecticut Minimum Wage 

Act, Conn. Gen. Stats. §§ 31-58 et seq., 31-13a, 31-60, 31-66, 31-68, 

and 31-76c, the Illinois Minimum Wage Law, 820 Ill. Comp. Stat. § 

115/1 et seq. and the regulations promulgated thereunder, 820 Ill. 

Comp. Stat. §§ 105/4a and 105/12a, Ill. Admin. Code §§ 210.100 et 

seq. and 210.770, the Kentucky Wage and Hour Laws, KRS §§ 

337.010 et seq., 337.020, 337.055, 337.060, 337.070, 337.285, 

337.320, and 337.385(1), Md. Code Ann. Labor & Employment Art. 

§§ 3-401 et seq., 3-415, 3-420, and 3-424, 21 Mass. Gen. Laws ch. 

151 §§ 1A et seq., 1B and 15, Minn. Stat 541.07(5), Minn. Stat. §§ 

177.21 et seq., 177.25(1), 177.30, and 181.01 et seq., Minn. Rules 

5200 et seq., 26 Minn. Rev. Stat. § 661 et seq., the New Jersey Wage 

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and Hour Law, N.J.S.A. §§ 34:11-2 et seq., 34:11-56a et seq., 

34:11-56a4, and 34:11-56a20, the New York Minimum Wage Act, 

New York Labor Law §§ 650 et seq. and 663(1), the New York 

Wage Payment Act, New York Labor Law § 190 et seq., New York 

State Department of Labor regulations, 12 N.Y.C.R.R. part 142, 

N.C. Gen. Stat. §§ 95-25.1 et seq., 95-25.6, 95-25.7, 95-25.7A, 

95-25.8, 95-25.13, 95-25.15 and 95-25.22, 13 N.C. Admin. Code §§ 

12.0801-12.0807, Ohio Rev. Code Ann. §§ 4111.01 et seq., 4111.08, 

4111.03, 4111.10, 4113.15, 43 Pa. Stat. §§ 333.103 et seq., 

333.104(c), 333.108 and 333.113, Wis. Stat. §§ 103.001 et seq. and 

103.13, Wis. Admin. Code §§ DWD 274.01 et seq., DWD 274.06 

and DWD 274.07, and Wash. Rev. Code Sec. 49.46.090, 49.46.100, 

49.46.130, and 49.46.070, and the statutes and regulations of all 

other states relating to the foregoing.

(B) Each Class Member who does not timely opt out in accordance 

with the procedures set forth in Section 2.4 is deemed to have 

acknowledged that this Agreement is intended to include in its effect 

all claims arising from or based upon the Litigation or the facts 

alleged therein that arose during any time that such Class Member 

worked in a Covered Position Code up until the date of the Order 

granting final approval, including both asserted and unasserted 

claims, and including those claims that each or any Class Member 

does not know or suspect to exist in his or her favor against 

Defendant. The Plaintiffs and each Class Member who does not 

timely opt out of this Agreement waive all rights and benefits 

afforded by section 1542 of the Civil Code of the State of California, 

understanding the significance of that waiver. Section 1542 

provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his favor at the time of executing the 

release, which if known by him must have materially affected his 

settlement with the debtor.”

c. How can I participate in the settlement

If you wish to receive a distribution from the settlement fund, you must timely complete 

and return the enclosed Claim Form and Release according to instructions provided on the form, 

including: (1) an oath that, at some point during the applicable period, you worked overtime; (2) 

an acknowledgement that, by signing the Claim Form and Release, you opt in to the case pursuant 

to 29 U.S.C. § 216(b); and (3) a release of claims consistent with that set forth in Section 6.b of this 

Notice. The oath must be personally filled out by the current or former employee who seeks to 

participate in the Settlement or someone with a legal right to act on his or her behalf. 

The Claim Form and Release must be properly completed, signed, and mailed to the 

Claims Administrator via First Class United States Mail, and received by [DATE]. If you do not 

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properly complete and timely submit the Claim Form and Release in order for it to be received by 

[DATE], you will not be eligible to receive any monetary distribution. Class Counsel recommend 

that you send your Claim Form and Release in the enclosed postage-prepaid envelope.

You should keep in mind that if you do not opt out, and if you do not properly and timely 

complete and return the Claim Form and Release in accordance with instructions provided on the 

form, you will not receive a distribution from the settlement fund, but you will still be bound by the 

Release described in Section 6.b.

d. How will my share be calculated if I participate

Each Class Member who submits a timely and properly completed Claim Form and 

Release will receive a share of the Net Settlement Fund (that is, the settlement funds that remain 

after deductions are made for claims administration costs, class representative payments, and 

attorneys’ fees and expenses). Class Members who previously received settlement payments 

through Department of Labor proceedings and/or the class settlement in Santangelo, et al. v. IBM 

Corporation, Case No. 04CC00078, Orange County, California, Superior Court, and/or another 

matter involving alleged withholding of overtime, and/or who received from IBM payment(s) in 

lieu of overtime (hereinafter, “Prior Settlement Amount(s)”), shall have their respective 

distributions from the Settlement reduced in light of such Prior Settlement Amount(s). 

Each Class Member’s share of the Net Settlement Fund will depend on a number of factors 

relating to the Class Member’s employment. These factors include salary, position code and job 

band, dates of employment, and the state(s) of employment. The salary, position code, job band, 

dates of employment, and states of employment will be conclusively derived from IBM’s data and 

will not be subject to challenge by Class Members.

As explained below, different values or “factors” are assigned to different position codes, 

job bands, and states of employment. Thus, two Class Members with the same salary and 

employment dates may recover different amounts because they held different positions or job 

bands or were employed in different states. 

As explained below, these factors might have a significant effect on the percentage of the 

Net Settlement Fund a given Class Member will receive. Class Members who worked in 

California, Illinois, Kentucky, Minnesota and New York also have longer recovery periods, or 

“Class Periods,” than other Class Members, as noted above in the section called “Who Is Included 

In The Lawsuit”? 

i. The formula for individual distributions from the Settlement 

If you are a Class Member who was employed by IBM in a Class Position and Class 

Job Band during the Class Period, and if you did not receive Prior Settlement Amount(s),

and if you take the appropriate steps, your share of the Net Settlement Fund will be calculated by 

multiplying your Base Earnings for each bimonthly pay period by two numeric factors: (1) a “Job 

Factor” based on your position code and band during that pay period, and (2) a “State Factor” 

based on the law that applies to your claim for that pay period. The sum of the calculations for 

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each pay period you worked in a Class Position and Class Job Band during the Recovery Period2 is 

called your “Individual Class Member Numerator.” The Individual Class Member Numerator for 

your claim will be divided by the sum of Individual Class Member Numerators for all approved 

claims to determine your “Resulting Decimal.” This Resulting Decimal will be multiplied by the 

Net Settlement Fund (less the $50 payments distributed to certain Class Members as described in 

Section 6.d.iii and the $50 minimum payments made to certain other Class Members as described 

in 6.d.iv below) to determine the amount of the Settlement to be awarded to your claim. In 

reaching agreement with Plaintiffs about the factors to be used in this distribution formula, IBM 

does not admit that any claim has merit, irrespective of position, job band, or the state in which a 

Class Member worked.

Your Job Factor will be determined as follows:

Position Code/Band Factor

(499A, 498Q, 498R, 498S, 498T, or 498U)/ (Band 

6) 

20

(499A, 498Q, 498R, 498S, 498T, or 498U)/ (Band 

7) 

15

(499A, 498Q, 498R, 498S, 498T, or 498U)/ (Band 

8)

6

(594J or 5338)/ (Band 6) 6

(594J or 5343)/ (Band 7) 2

(594J or 4325)/Band 8 1

The above factors mean, for example, that if a 499A/band 6 employee and a 594J/band 8 

employee worked at the same salary for a pay period in the same state, the 594J/band 8 employee 

would receive only a fraction of the amount of the Settlement that the 499A/band 6 employee 

would. This factor is based on Class Counsel’s assessment that the challenges different Class 

Members would face in establishing their claims varies by position code and job band. 

Your State Factor will be determined as follows:

State You Worked In Factor

California 3

 2

 The Recovery Period is similar to the Class Period defined in Section 4. However, the Recovery Period 

runs through the date the Court grants final approval to the Settlement and is thus longer than the Class Period.

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All States Except California 1

The above factors mean, for example, that if a California and a New York employee 

worked at the same salary and in the same position code and job band for a pay period, the New 

York employee would receive a lesser amount of the Settlement than the California employee 

would receive. This factor accounts for the fact that the measure of allowable damages and the 

liability standard varies with the applicable state law, and, as a result, Class Members in California 

face fewer challenges in establishing their claims than Class Members in other states.

ii. Example of the calculation formula

For example, if your Base Earnings were $1600 per bimonthly pay period for 32 pay 

periods, and you worked in job band 6 of 499A in California, your share of the Net Settlement 

Fund would be calculated as follows:

1. 1600 x 32 x 20 x 3 = 3,072,000 points = Your Individual Class Member Numerator

2. Your 3,072,000 Individual Class Member Numerator will be divided by sum of the 

Individual Class Member Numerators for all other approved claims to determine your 

Resulting Decimal.

3. Your Resulting Decimal will be multiplied by the Net Settlement Fund (less the 

amounts distributed to Class Members who were not employed by IBM in a Class 

Position and Class Job Band during the Class Period, and less the amounts distributed 

to Class Members described in Section 6.d.iii and 6.d.iv below) to determine your share 

of the Settlement.

As these examples demonstrate, the amount you recover will change according to the 

number of Class Members who participate in the Settlement. As well, the factors applied to your 

claim may have a significant effect on the percentage of the Settlement you receive.

iii. Minimum Payments to Class Members Who Did Not Work in a Class 

Position and Class Band During the Class Period

There is a small percentage of Class Members who did not work for IBM in a Class 

Position and Class Job Band during the Class period. If you were not employed by IBM in a Class 

Position and Class Job Band during the Class Period (as defined in Section 4), but if you are a 

Class Member, and if you take the appropriate steps, your share of the Net Settlement Fund will be 

$50.

iv. Payments to Class Members Who Received Prior Settlement Amounts

There is a small percentage of Class Members who received Prior Settlement Amounts 

from IBM. If you are a Class Member who was employed by IBM in a Class Position and Class 

Job Band during the Class Period, and if you received Prior Settlement Amount(s), and if you take 

the appropriate steps, your share of the Net Settlement Fund will be calculated according to the 

formula set forth in Section 6.d.i, subject to the following adjustment: For all bimonthly pay 

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periods covered by a Prior Settlement Amount(s), your Base Earnings for that pay period will be 

reduced to zero. If such reductions cause your settlement share to be zero, your share of the Net 

Settlement Fund will be $50. 

7. When Is The Fairness Hearing to Approve the Settlement

The Court has granted preliminary approval of the proposed Settlement, concluding 

preliminarily that the Settlement is fair, adequate, and reasonable and that the proposed 

distribution of the Settlement amount is fair, adequate, and reasonable.

A hearing will be held to determine whether final approval of the Settlement should be 

granted. At the hearing, the Court will hear objections, if any, and arguments concerning the 

fairness of the proposed Settlement. The hearing will take place before Judge Hamilton on [DATE]

at [TIME] or as soon thereafter as practicable, in Courtroom 3, 17th Floor, Federal Building, 450 

Golden Gate Avenue, San Francisco, California. The Court will also consider Class Counsel’s 

application for fees and costs and the service awards sought by Class Representatives. The time 

and date of this hearing may be continued or adjourned, so please contact Class Counsel prior to 

the date of the hearing if you plan to attend.

YOU ARE NOT OBLIGATED TO ATTEND THIS HEARING. YOU MAY ATTEND 

THE HEARING IF YOU PLAN TO OBJECT TO THE SETTLEMENT. YOU MAY ALSO 

RETAIN YOUR OWN ATTORNEY TO REPRESENT YOU IN YOUR OBJECTIONS. IF YOU 

WISH TO ATTEND THE HEARING, YOU MUST SUBMIT A WRITTEN OBJECTION AS 

DESCRIBED IN THE FOLLOWING SECTION AND MUST STATE IN WRITING YOUR 

INTENTION TO APPEAR AT THE FAIRNESS HEARING.

8. How Can You Object To The Proposed Settlement

If you want to object to the Settlement, you may submit a written statement of the objection 

to the Claims Administrator at the address below. Your objection will not be heard unless it is 

mailed to the Claim Administrator via First Class United State Mail, postage prepaid, and received 

by the Claims Administrator no later than [DATE]. If you wish to present your objection at the 

fairness hearing, you must state your intention to do so in your written objection.

[Address]

9. How Can You Opt Out Of The Settlement

You have the right to exclude yourself, and yourself only, from this Lawsuit and 

Settlement. If you choose to exclude yourself, you will not be barred from seeking relief with 

respect to any legal claims and will be free to pursue an individual claim, if any, against IBM, 

but you will not be eligible to receive the benefits of this Settlement. 

If you intend to exclude yourself, you must complete the enclosed Opt-out Statement and 

mail it to the Claims Administrator at the address below. The Opt-out Statement must be mailed to 

the Claim Administrator via First Class United States Mail, postage prepaid, and postmarked no 

later than [DATE].

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[Address]

10. How Can You Examine Court Records

The foregoing description of the case is general and does not cover all of the issues and 

proceedings thus far. In order to see the complete file, including a copy of the settlement 

agreement, you should visit the Clerk of Court, [Address]. The Clerk will make all files relating to 

this lawsuit available to your for inspection and copying at your own expense.

11. What If You Have Questions

If you have questions about this Notice, or want additional information, you can contact the 

Claims Administrator at [PHONE NUMBER]. 

Dated: 

This Notice is sent to you by Order of the United States District Court for the Northern 

District of California.

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Exhibit B

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Exhibit C

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Exhibit D

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578408.10

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

THOMAS ROSENBURG et al., on behalf of 

themselves and classes of those similarly situated,

Plaintiffs, 

v.

INTERNATIONAL BUSINESS 

MACHINES CORPORATION,

Defendant.

Case No. CV 06-00430 PJH

[PROPOSED] ORDER 

(1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES AND 

COLLECTIVE ACTION,

(2) GRANTING PRELIMINARY 

APPROVAL TO PROPOSED CLASS 

ACTION SETTLEMENT AND PLAN 

OF ALLOCATION, (3) DIRECTING 

DISSEMINATION OF NOTICE AND 

CLAIM FORM TO THE CLASS,

(4) APPROVING RELEASES AND 

(5) SETTING DATE FOR FAIRNESS 

HEARING AND RELATED DATES

After discovery and two mediation sessions, and notwithstanding their adversarial 

positions in this matter, Plaintiffs and IBM (collectively, the “Parties”) negotiated a settlement of 

this litigation. The terms of the proposed settlement (“Settlement”) are set forth in the proposed 

Joint Stipulation of Settlement and Release of All Claims (“Settlement Agreement,” attached 

hereto as Exhibit 1). 

On November 22, 2006, Plaintiffs filed a Motion For Order Conditional Certifying 

Settlement Classes, Preliminarily Approving Class Action Settlement, Approving Notice and 

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578408.10 -2-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Releases, and Setting Fairness Hearing (“Motion”). In their Motion, the Plaintiffs requested tha t 

this Court grant conditional certification of a nationwide settlement class and certain settlement 

subclasses, together with a co-extensive FLSA collective action. Plaintiffs also requested that the 

Court grant preliminary approval to the Settlement Agreement, including the plan of allocation in 

that Agreement, and that the Court approve a proposed Notice of Proposed Settlement of Class 

Action Lawsuit and Fairness Hearing (“Class Notice,” attached hereto as Exhibit A to the 

Settlement Agreement), a proposed Opt-Out Statement (attached hereto as Exhibit B to the 

Settlement Agreement), a proposed Claim Form (attached hereto as Exhibit C to the Settlement 

Agreement), and individual releases to be signed by Plaintiffs Thomas Rosenburg, James Baxter, 

Robert Carlo, Alan Erece, Marcia Howie, Fnu Kennedy, Vincent Letizio, Sherry Mattson, Steve 

Park, Michelle Peel, Denise Rambsel, Exaldo Topacio, Laurence Tosi III, Robin Daniels, 

Rebecca Taylor, and Frank Vasterling (attached hereto as Exhibit E to the Settlement 

Agreement). Having reviewed the Settlement Agreement and Motion, along with the Parties’ 

prior submissions in this matter, the Court now FINDS, CONCLUDES, AND ORDERS as 

follows:

I. Background

Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling (“Plaintiffs”) 

contend that IBM misclassified certain employees as exempt from the overtime requirements of 

the Fair Labor Standards Act and various state laws. Specifically, Plaintiffs assert that, on behalf 

of themselves and a proposed class and subclasses of persons alleged to be similarly situated,

IBM violated federal and state wage laws by failing to pay overtime, during specified time 

periods, to employees holding positions at IBM that the Company coded as 498Q (bands 6-8), 

498R (bands 6-8), 498S (bands 6-8), 498T (bands 6-8), 498U (bands 6-8), 499A (bands 6-8), 

4325, 5343, 5338, and 594J (bands 6-8). Plaintiffs also contend that, due to this alleged 

misclassification, IBM violated the Employee Retirement Income Security Act by denying certain 

benefit credits allegedly due based upon employees’ purported overtime hours. IBM has 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

disputed, and it continues to dispute, Plaintiffs’ allegations in this lawsuit, and the Company 

denies any liability for any of the claims that have or could have been alleged by Plaintiffs or the 

persons that they seek to represent. 

II. Definition Of The Settlement Class And Subclasses

The Parties have entered into the Settlement Agreement solely for the purposes of 

compromising and settling their disputes in this matter. As part of the Settlement Agreement, 

IBM has agreed not to oppose, for settlement purposes only, conditional certification of the 

following settlement class and subclasses:

1. The Class. The Class includes: (1) all current and former 

IBM employees who are or were employed by IBM in a Covered 

Position Code at any time during the Covered Period, and (2) to the 

extent that they are not included in part (1) of this definition, 

current and former IBM employees who participated in the United 

States Department of Labor, Wage Hour Division, Compliance 

Actions, Case Nos. 1325099 and 1283294.

2. The California Subclass. The California Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in California at any time during 

the Covered Period applicable to persons employed in that State.

3. The Kentucky Subclass. The Kentucky Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in Kentucky at any time during 

the Covered Period applicable to persons employed in that State. 

4. The New York Subclass. The New York Subclass includes: 

all current and former IBM employees who are or were employed 

by IBM in a Covered Position Code in New York at any time 

during the Covered Period applicable to persons employed in that 

State. 

For purposes of these definitions, the term “Covered Position Code” means the positions 

at IBM that the Company coded as 498Q (bands 6-8), 498R (bands 6-8), 498S (bands 6-8), 498T 

(bands 6-8), 498U (bands 6-8), 499A (bands 6-8), 4325, 5343, 5338, and 594J (bands 6-8). The 

term “Covered Period” means: (A) for employees who worked in Covered Position Codes in 

New York, January 24, 2000 to the date of the Order Granting Preliminary Approval of 

Settlement; (B) for employees who worked in Covered Position Codes in Kentucky, October 2, 

2001 until the date of the Order Granting Preliminary Approval of Settlement; (C) for employees 

who worked in Covered Position Codes in California, from January 24, 2002 to the date of the 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Order Granting Preliminary Approval of Settlement; (E) for employees who worked in Covered 

Position Codes in Illinois and Minnesota, from March 13, 2003 to the date of the Order Granting 

Preliminary Approval of Settlement; and (F) for employees who worked in Covered Position 

Codes in all other states, from April 19, 2003 to the date of the Order Granting Preliminary 

Approval of Settlement.

On behalf of the Class, based on allegations that they were misclassified as exempt from 

overtime pay requirements, Plaintiffs assert claims for overtime pay under the FLSA and the laws 

of various states, and claims for benefit credits under ERISA. On behalf of the California 

Subclass, based on allegations that they were misclassified as exempt, Plaintiffs assert claims for 

overtime and premium payments, missed meal breaks, waiting time penalties, recordkeeping 

violations and a violation of the Unfair Competition Law. On behalf of the Kentucky Subclass, 

based on allegations that they were misclassified as exempt, Plaintiffs assert claims for overtime 

pay and recordkeeping violations. On behalf of the New York Subclass, based on claims that 

they were misclassified as exempt, Plaintiffs assert claims for overtime pay and spread-of-hours 

pay. 

III. Designation Of The Class As An FLSA Collective Action

The Court finds that the members of the Class are similarly situated within the meaning of 

Section 216(b) of the Fair Labor Standards Act, 29 U.S.C. § 216(b), for purposes of determining 

whether the terms of settlement are fair. Accordingly, the Court conditionally certifies the Class 

as an FLSA collective action. The Court authorizes the Notice, Exhibit A to the Settlement 

Agreement, to be mailed to potential members of the FLSA collective action, notifying them of 

the pendency of the FLSA claim, and of their ability to joint their claims. Putative members of 

the FLSA collective action who wish to join that claim must sign the Claim Form, Exhibit C to 

the Settlement Agreement, and return it by mail to the Claims Administrator, such that it is 

received by the Claims Administrator within 70 days of the mailing of the Notice and Claim 

Form. 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

IV. Rule 23 Certification of the Class And Subclasses

In examining potential conditional certification of the nationwide settlement class and 

subclasses, the Court has considered: (1) the allegations, information, arguments, and authorities 

cited in the Motion for Preliminary Approval and supporting memorandum and declarations; 

(2) the allegations, information, arguments, and authorities provided by the Parties in connection 

with the pleadings and other motions filed by each of them in this case; (3) information, 

arguments, and authorities provided by the Parties in multiple conferences and arguments before 

this Court; (4) IBM’s conditional agreement, for settlement purposes only, not to oppose 

conditional certification of the settlement class and subclasses specified in the Settlement 

Agreement; (5) the terms of the Settlement Agreement, including, but not limited to, the 

definition of the settlement class and subclasses specified in the Settlement Agreement; and 

(6) the elimination of the need, on account of the Settlement, for the Court to consider any 

potential trial manageability issues that might otherwise bear on the propriety of class 

certification.

In connection with certifying the Class and Subclasses, the Court makes the following 

findings:

a. The Class and Subclasses each have more than 100 members, and therefore 

each is therefore sufficiently numerous that joinder of all Class or Subclass Members is 

impracticable;

b. There are questions of law or fact common to all Class and Subclass

Members, including whether the Class and Subclass Members were properly classified as exempt 

from overtime and whether they regularly exercised independent judgment and discrimination on 

matters of substantial importance; 

c. The Class and Subclass Representatives’ claims are typical of their 

respective Classes’ claims in that the Class Representatives raise the same claims as the Class 

Members;

d. The Class and Subclass Representatives can fairly and adequately represent 

the their respective Classes’ interests, in that (1) Class Representatives have retained counsel who 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

are qualified and experienced in the issues raised in this litigation, and (2) none of the Class 

Representatives ha s any apparent interests antagonistic to the interests of the classes they seek to 

represent;

e. The common questions of law and fact set forth in paragraph b., above, 

predominate over any questions affecting only individual members;

f. The class action device is superior to all other available methods for fairly 

and efficiently settling this matter.

Based on those considerations and findings, the Court hereby finds that the Class and 

Subclasses proposed in this matter are readily identifiable and that the requirements of Federal 

Rule of Civil Procedure 23(a) are satisfied, including numerosity, commonality, typicality, and 

adequacy of the representatives and their counsel. 

The Court further concludes that the requirements of Federal Rule of Civil Procedure 

23(b)(3) are satisfied because questions of law and fact common to the members of the settlement 

class and subclasses (“Class Members”) predominate over any questions affecting only individual 

members and that a settlement class is superior to other available methods for the fair and 

efficient adjudication of this matter.

Therefore, solely for the purpose of determining whether the terms of settlement are fair, 

reasonable, and adequate, the Court conditionally certifies pursuant to Rule 23(a) and (b)(3) of 

the Federal Rules of Civil Procedure the following: (1) the Class; (2) the California Subclass; (3) 

the Kentucky Subclass; and (4) the New York Subclass, as defined in Section II, above. 

V. Appointment Of Class Representatives And Class Counsel

Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling (“Plaintiffs”)

are appointed as class representatives of the Class, both under Rule 23 and unde 29 U.S.C. 

§ 216(b). Thomas Rosenburg and Alan Erece are appointed as class representatives of the 

California Subclass. Frank Vasterling is appointed as class representative of the Kentucky 

Subclass. Exaldo Topacio is appointed as class representative of the New York Subclass. 

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578408.10 -7-

[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

The following law firms are appointed as class counsel for the Class and Subclasses 

(“Class Counsel”): James M. Finberg and Eve H. Cervantez of Altshuler Berzon, LLP; Kelly M. 

Dermody, Rachel Geman and Jahan C. Sagafi of Lieff, Cabraser, Heimann & Bernstein, LLP; 

Steven G. Zieff, David Lowe, and Kenneth J. Sugarman of Rudy, Exelrod & Zieff, LLP; Todd F. 

Jackson, Claire Kennedy-Wilkins, and Lindsay Nako of Lewis, Feinberg, Renaker & Jackson, 

P.C.; Adam T. Klein, Justin M. Swartz, and Piper Hoffman of Outten & Golden, LLP; Ira Spiro 

and Gregory N. Karasik of Spiro, Moss, Barness, Harrison & Barge, LLP; J. Derek Braziel of Lee 

& Braziel, LLP; Richard Burch of Bruckner Burch, PLLC; and David Borgen and Roberta Steele 

of Goldstein, Demchak, Baller, Borgen and Dardarian.

VI. Disposition Of Settlement Class And Subclasses If Settlement Agreement Does Not 

Become Effective

If, for any reason, the Settlement Agreement ultimately does not become effective, IBM’s 

agreement not to oppose conditional certification of the settlement class and subclasses shall be 

null and void in its entirety; this Order conditionally certifying the settlement class and subclasses 

shall be vacated; the Parties shall return to their respective positions in this lawsuit as those 

positions existed immediately before the Parties executed the Settlement Agreement; and nothing 

stated in the Settlement Agreement, the Motion, this Order, or in any attachments to the foregoing 

documents shall be deemed an admission of any kind by any of the Parties or used as evidence 

against, or over the objection of, any of the Parties for any purpose in this action or in any other 

action. In particular, the class and subclasses certified for purposes of settlement shall be 

decertified, and IBM will retain the right to contest whether this case should be maintained as a 

class action or collective action and to contest the merits of the claims being asserted by 

Plaintiffs. In such a case, the Parties will negotiate and submit for Court approval a case schedule 

which shall, among other things, propose dates for completion of class certification and merits 

discovery and the filing of motions (and opposition thereto), including but not limited to 

Plaintiffs’ motion for Hoffman-LaRoche notice, Plaintiffs’ motion for class certification under 

Fed. R. Civ. P. 23, and Defendant’s summary judgment motions. Further, if a mutually agreed 

upon class settlement is not approved, the Parties agree that the stipulation regarding tolling they 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

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CASE NO. CV 06-00430 PJH

filed with the Court on November 8, 2006 shall be amended such that the end date for the tolling 

period referenced in paragraph 3 of that stipulation shall be the later of: (1) the date the Court 

denies the Motion for Order Conditionally Certifying Settlement Classes and Preliminarily 

Approving Class Action Settlement, or (2) if such motion is timely filed, the date the Court denies 

the Parties’ joint motion for reconsideration of such denial. All other provisions regarding tolling 

in that stipulation shall remain in full force and effect.

VII. Preliminary Approval Of The Terms Of The Settlement Agreement, Including The 

Proposed Plan Of Allocation

The Court has reviewed the terms of the Settlement Agreement attached as Exhibit 1, and 

the Parties’ description of the Settlement in the Motion papers. Based on that review, the Court 

concludes that the Settlement has no obvious defects and is within the ranges of possible 

Settlement approval such that notice to the Class is appropriate.

The Court has also read and considered the declarations of James Finberg and Steven 

Zieff in support of preliminary approval. Based on review of those declarations, the Court 

concludes that the Settlement was negotiated at arms length and is not collusive. The Court 

further finds that Class Counsel were fully informed about the strengths and weaknesses of the 

Class’s case when they entered into the Settlement Agreement.

As to the proposed plan of allocation, the Court finds that the proposed plan is rationally 

related to the relative strengths and weaknesses of the respective claims asserted. The proposed 

plan of allocation is also within the range of possible approval such that notice to the Class is 

appropriate.

Accordingly, the Court hereby grants preliminary approval to the Settlement Agreement 

and the Plan of Allocation.

VIII. Approval Of The Form And Manner Of Distributing Class Notice, Opt-Out 

Statement, And Claim Form 

Plaintiffs have also submitted for this Court’s approval a proposed Class Notice, Opt-Out 

Statement, and a proposed Claim Form. The Court now considers each of these documents in 

turn.

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

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CASE NO. CV 06-00430 PJH

The proposed Class Notice appears to be the best notice practical under the circumstances 

and appears to allow Class Members a full and fair opportunity to consider the proposed 

Settlement and develop a response. The proposed plan for distributing the Class Notice, and the 

Opt-Out Statement and Claim Form, which are to be attached to the Class Notice, likewise 

appears to be a reasonable method calculated to reach all members of the Class who would be 

bound by the Settlement. Under this plan, the Claims Administrator will distribute the Class 

Notice to Class Members by first class U.S. Mail. There appears to be no additional method of 

distribution that would be reasonably likely to notify Class Members who may not receive notice 

pursuant to the proposed distribution plan.

The Class Notice and Opt-Out Statement fairly, plainly, accurately, and reasonably 

informs Class Members of: (1) appropriate information about the nature of this litigation, the 

settlement class and subclasses at issue, the identity of Class Counsel, and the essential terms of 

the Settlement Agreement and Settlement; (2) appropriate information about Class Counsel’s 

forthcoming application for attorneys’ fees, the proposed service payments to Plaintiffs, and other 

payments that will be deducted from the settlement fund; (3) appropriate information about how 

to participate in the Settlement; (4) appropriate information about this Court’s procedures for final 

approval of the Settlement Agreement and Settlement; (5) appropriate information about how to 

challenge or opt-out of the Settlement, if they wish to do so; and (6) appropriate instructions as to 

how to obtain additional information regarding this litigation, the Settlement Agreement, and the 

Settlement. Similarly, the proposed Claim Form appears to allow members of the settlement 

class and subclasses a full and fair opportunity to submit a claim for proceeds in connection with 

the Settlement. Moreover, the Claim Form fairly, accurately, and reasonably informs Class 

Members that failure to complete and submit a Claim Form, in the manner and time specified, 

shall constitute a waiver of any right to obtain any share of the Settlement Payment. 

The Court, having reviewed the proposed Class Notice, Opt-Out Statement, and Claim

Form (collectively “Notice Materials”), finds and concludes that the proposed plan for 

distributing the same will provide the best notice practicable, satisfies the notice requirements of 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

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CASE NO. CV 06-00430 PJH

Rule 23(e), and satisfies all other legal and due process requirements. Accordingly, the Court 

hereby Orders as follows:

1. The form and manner of distributing the proposed Notice 

Materials are hereby approved.

2. Promptly following the entry of this Order, the Claims 

Administrator shall prepare final versions of the Notice Materials, 

incorporating into the Notice the relevant dates and deadlines set forth in 

this Order.

3. Within 30 days of the date of entry of this Order, IBM will 

provide the Claims Administrator with the information regarding Class 

Members specified in the Settlement Agreement.

4. Within 45 days of the date of this Order, the Claims 

Administrator shall mail, via first class United States mail, postage 

prepaid, the final version of the Class Notice, along with the Opt-Out 

Statement and Claim Form, using each Class Member’s last known 

address as recorded in IBM’s human resource records. The Claims 

Administrator shall take all reasonable steps to obtain the correct address

of any Class Members for whom the notice is returned by the post office 

as undeliverable and otherwise to provide the Class Notice. The Claims 

Administrator shall notify Class Counsel of any mail sent to Class 

Members that is returned as undeliverable after the first mailing as well as 

any such mail returned as undeliverable after any subsequent mailing(s). 

In no event shall the Claims Administrator make any mailing to any Class 

Member more than 60 days after the initial mailing.

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

5. The Claims Administrator shall take all other actions in 

furtherance of claims administration as are specified in the Settlement 

Agreement. 

IX. Procedures For Final Approval Of The Settlement

A. Fairness Hearing

The Court hereby schedules, for the 11th day of July, 2007, at the hour of 9:00 a.m., a 

hearing to determine whether to grant final certification of the Settlement Class and Subclasses,

and the FLSA collective action, and final approval of the Settlement Agreement and the Plan of 

Allocation (the “Fairness Hearing”). At the Fairness Hearing, the Court also will consider any 

petition that may be filed for the payment of attorneys’ fees and expenses to Class Counsel, and 

any service payment to be made to the class representatives.

B. Deadline To Request Exclusion From The Settlement

Class Members who wish to be excluded from the Settlement must submit a written and 

signed request to opt out to the Claims Administrator using the form (“Opt-Out Statement”) 

provided with the Class Notice. To be effective, any such Opt-Out Statement must be sent to the 

Claims Administrator at the address provided in the Class Notice via First Class United States 

Mail, postmarked by 60 days after the Claims Administrator mails the Class Notice.

The Claims Administrator shall stamp the postmark date on the original of each Opt-Out 

Statement that it receives and shall serve copies of each Opt-Out Statement on Class Counsel and 

IBM’s Counsel, as specified in the Settlement Agreement, not later than three calendar days after 

receipt thereof. The Claims Administrator also shall, within three business days of the end of the 

Opt-Out Period, file with the Clerk of Court, with social security numbers redacted, stamped 

copies of any Opt-Out Statements. The Claims Administrator shall, within three business days of 

the end of the Opt-Out Period, send a final list of all Opt-out Statements to Class Counsel and 

IBM’s Counsel by both facsimile and overnight delivery. The Claims Administrator shall retain 

the stamped originals of all Opt-Out Statements and originals of all envelopes accompanying OptCase 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 92 of 129
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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

Out Statements in its files until such time as the Claims Administrator is relieved of its duties and 

responsibilities under the terms of the Settlement Agreement.

C. Deadline For Class Counsel To File A Petition For An Award Of Attorneys’ 

Fees And Reimbursement Of Expenses.

Class Counsel shall file with this Court their petition for an award of attorneys’ fees and 

reimbursement of expenses no later than 35 days before the Fairness Hearing. Class Counsel may 

file a reply to any opposition memorandum filed by any objector no later than 14 days before the 

Fairness Hearing.

D. Deadline For Class Counsel To File A Petition For Approval Of Service

Payments To Plaintiffs.

Class Counsel shall file with this Court their petition for an award of service payments to 

Plaintiffs Thomas Rosenburg, James Baxter, Robert Carlo, Alan Erece, Marcia Howie, Fnu 

Kennedy, Vincent Letizio, Sherry Mattson, Steve Park, Michelle Peel, Denise Rambsel, Exaldo 

Topacio, Laurence Tosi III, Robin Daniels, Rebecca Taylor, and Frank Vasterling no later than 35

days before the Fairness Hearing. Class Counsel may file a reply to any opposition memorandum 

filed by any objector no later than 14 days before the Fairness Hearing.

E. Deadline For Filing Objections To Settlement

Any Class Member who wishes to object to the fairness, reasonableness or adequacy of 

the Settlement Agreement or the Settlement must do so in writing. To be considered, any such 

objection must be sent to the Claims Administrator, at the address provided in the Class Notice, 

via First-Class United States mail, postage prepaid. In addition, any such objection must be 

received by the Claims Administrator no later than 60 days after the date the Class Notice is 

mailed to such Class Member. An objector who wishes to appear at the Fairness Hearing, either 

in person or through counsel hired by the objector, must state his or her intention to do so at the 

time the objector submits his/her written objections. 

The Claims Administrator shall stamp the date received on the original and send copies of 

each objection to the Parties by facsimile and overnight delivery not later than three calendar days 

after receipt thereof. The Claims Administrator shall also file the date-stamped originals of any 

objections with the Clerk of Court within three business days after the Opt-Out Period. On or 

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

before 14 days before the Fairness Hearing, the Parties may file with the Court written responses 

to any filed objections.

F. Deadline For Filing Motion For Judgment And Final Approval

No later than 35 days before the Fairness Hearing, Plaintiffs and IBM will submit a joint 

Motion for Judgment and Final Approval of the Settlement Agreement and Settlement.

G. Deadline For Submitting Claim Forms

A Class Member who does not opt out will be eligible to receive his or her proportionate 

share of the settlement benefit. To receive this share, such a Class Member must properly and 

timely complete a Claim Form in accordance with the terms of the Settlement. Completion of the 

Claim Form includes: (1) an oath that, at some point during the applicable period, he or she 

worked overtime; (2) an acknowledgement that, by signing the Claim Form, he or she opts in to 

the case pursuant to 29 U.S.C. § 216(b); and (3) a release of claims consistent with that set forth 

in the Notice. To be effective, the Claim Form must be sent to the Claims Administrator at the 

address provided in the Class Notice by First Class United States Mail, postage prepaid, and must 

be received by the Claim Administrator within 70 days after the mailing of the Class Notice. 

H. Plaintiffs’ And Class Members’ Release

If, at the Fairness Hearing, this Court grants Final Approval to the Settlement Agreement 

and Settlement, Plaintiffs and each individual Class Member who does not timely opt out will 

release claims, by operation of this Court’s entry of the Judgment and Final Approval, as 

described in Section 4 of the Settlement Agreement, regardless of whether he or she submits a 

Claim Form or receives any share of the Settlement Fund. The Court has reviewed the release in 

the Settlement Agreement, which is incorporated as well into the Claim Form, and finds it to be 

fair, reasonable, and enforceable.

I. Releases of Class Representatives

In addition, Plaintiffs Rosenburg, Baxter, Carlo, Erece, Howie, Kennedy, Letizio, 

Mattson, Park, Peel, Rambsel, Topacio, Tosi, Daniels, Taylor, and Vasterling will execute 

individual releases in exchange for any court-approved service payments. The Court has 

reviewed these individual releases and finds them to be fair, reasonable, and enforceable.

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[PROPOSED] ORDER (1) CONDITIONALLY CERTIFYING 

SETTLEMENT CLASSES, COLLECTIVE ACTION, ETC.

CASE NO. CV 06-00430 PJH

J. Opt-In Form Of Daniel Cribb

Class Counsel has filed a Notice of Withdrawal of Opt-In Form of Daniel Cribb. 

Accordingly, the Court hereby approves such notice and the Opt-In Form of Daniel Cribb is 

deemed withdrawn.

DATED: ___________________ _____________________________________

Hon. Phyllis J. Hamilton

United States District Judge

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 95 of 129
Exhibit E

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 96 of 129
NYI-2290638v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

JAMES BAXTER

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

James Baxter (“Baxter”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Baxter agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Baxter agrees that he has voluntarily executed this Release on his own behalf, and also on behalf 

of any heirs, agents, representatives, successors and assigns that he may have now or in the 

future. He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, the Colorado Minimum Wage Act, the Colorado 

Minimum Wage Order No. 22, and any state and local anti-discrimination laws. Baxter also 

agrees that this Release includes, but is not limited to, claims based on theories of contract or tort, 

whether based on common law or otherwise. In addition, Baxter agrees to waive any right he 

may have to pursue any claim or grievance through any IBM internal channel including, but not 

limited to, the IBM Open Door Policy. This Release covers both claims that Baxter knows about 

and those that he does not know about that have accrued by the time he executes this Release, 

including the claims delineated in Section 4 of the Joint Stipulation, except that this release does 

not cover any claims, formal or informal, that Baxter had asserted in writing as of November 21, 

2006 or any payments to which Baxter may be entitled pursuant to the settlement of Kathi 

Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Baxter expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Baxter

acknowledges that he has voluntarily entered into this Release. Baxter acknowledges that the 

payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

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Baxter has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Baxter signs this Release before that time, he certifies, by 

such execution, that he knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to him, with no pressure from any IBM representative to do so.

Baxter is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Baxter hereby acknowledges that he did, prior to executing this Release, consult with his 

attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Baxter signs it, and 

Baxter may revoke it during that time frame. If Baxter does not revoke prior to the conclusion of 

the seventh day after Baxter signs this Release, this Release will become fully enforceable at that 

time.

Revocation of this Release by Baxter will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Baxter hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 James Baxter

NOTARIZATION

State of Colorado

County of _______________

Subscribed and sworn to me this ___ day of ____________________, 200___ by James Baxter 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

___________________________________

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NYI-2292509v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF ROBERT CARLO

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Robert Carlo (“Carlo”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Carlo agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Carlo agrees that he has voluntarily executed this Release on his own behalf, and also on behalf 

of any heirs, agents, representatives, successors and assigns that he may have now or in the 

future. He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, Maryland Wage and Hour Law, Maryland Code, Labor 

& Employment §§ 3-401 et seq., 3-415, 3-420, and 3-424, Maryland Fair Employment Practices 

Act, Maryland Code Art. 49B, and any local anti-discrimination laws. Carlo also agrees that this 

Release includes, but is not limited to, claims based on theories of contract or tort, whether based 

on common law or otherwise. In addition, Carlo agrees to waive any right he may have to 

pursue any claim or grievance through any IBM internal channel including, but not limited to, 

the IBM Open Door Policy. This Release covers both claims that Carlo knows about and those 

that he does not know about that have accrued by the time he executes this Release, including the 

claims delineated in Section 4 of the Joint Stipulation, except that this release does not cover any 

claims, formal or informal, that Carlo had asserted in writing as of November 21, 2006 or any 

payments to which Carlo may be entitled pursuant to the settlement of Kathi Cooper, et al. v. 

IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Carlo expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Carlo 

acknowledges that he has voluntarily entered into this Release. Carlo acknowledges that the 

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payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

Carlo has been given the opportunity to take a period of at least twenty-one days within which to 

consider this Release. In the event Carlo signs this Release before that time, he certifies, by such 

execution, that he knowingly and voluntarily waived the right to the full twenty-one days, for 

reasons personal to him, with no pressure from any IBM representative to do so.

Carlo is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Carlo hereby acknowledges that he did, prior to executing this Release, consult with his 

attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Carlo signs it, and 

Carlo may revoke it during that time frame. If Carlo does not revoke prior to the conclusion of 

the seventh day after Carlo signs this Release, this Release will become fully enforceable at that 

time.

Revocation of this Release by Carlo will in no way alter his rights and obligations under the Joint 

Stipulation of Settlement and Re lease of Class Claims, including the release of claims set forth 

therein, except that he will no longer be entitled to any service payment pursuant to Section 3.3 

of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Carlo hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Robert Carlo

NOTARIZATION

State of Maryland

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Robert Carlo 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 100 of 129
NYI-2292563v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF ROBIN DANIELS

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Robin Daniels (“Daniels”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM of 

whatever kind including, but not limited to, those that are related to her employment with IBM or 

her claims in the Litigation.

Daniels agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Daniels agrees that she has voluntarily executed this Release on her own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that she may have now or in 

the future. She also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the Pennsylvania Minimum Wage Act of 

1968, 43 Pa. Stat. §§ 333.103 et seq., 333.104(c), 333.108 and 333.113, the Pennsylvania Human 

Relations Act, 43 Pa. Stat. §§ 951 et seq., and any local anti-discrimination laws. Daniels also 

agrees that this Release includes, but is not limited to, claims based on theories of contract or tort, 

whether based on common law or otherwise. In addition, Daniels agrees to waive any right she 

may have to pursue any claim or grievance through any IBM internal channel including, but not 

limited to, the IBM Open Door Policy. This Release covers both claims that Daniels knows 

about and those that she does not know about that have accrued by the time she executes this 

Release, including the claims delineated in Section 4 of the Joint Stipulation, except that this 

release does not cover any claims, formal or informal, that Daniels had asserted in writing as of 

November 21, 2006 or any payments to which Daniels may be entitled pursuant to the settlement 

of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Daniels expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Daniels 

acknowledges that she has voluntarily entered into this Release. Daniels acknowledges that the 

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NYI-2292563v1

payment provided to her in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which she would not have been entitled had she not signed this Release.

Daniels has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Daniels signs this Release before that time, she certifies, by 

such execution, that she knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to her, with no pressure from any IBM representative to do so.

Daniels is hereby advised to consult with her attorney about this Release prior to executing this 

Release. Daniels hereby acknowledges that she did, prior to executing this Release, consult with 

her attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Daniels signs it, 

and Daniels may revoke it during that time frame. If Daniels does not revoke prior to the 

conclusion of the seventh day after Daniels signs this Release, this Release will become fully 

enforceable at that time.

Revocation of this Release by Daniels will in no way alter her rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that she will no longer be entitled to any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Daniels hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Robin Daniels

NOTARIZATION

Commonwealth of Pennsylvania

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Robin Daniels 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 102 of 129
NYI-2292537v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF ALLEN ERECE

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Allen Erece (“Erece”) agrees to release and hereby does release International Business Machines 

Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Erece agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Erece agrees that he has voluntarily executed this Release on his own behalf, and also on behalf 

of any heirs, agents, representatives, successors and assigns that he may have now or in the 

future. He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, the California Fair Employment and Housing Act, the 

California Family Rights Act, the California Labor Code and related regulations, and the 

California Unfair Competition Law, Cal. Bus. & Prof. Code § 17200 et seq. Erece also agrees 

that this Release includes, but is not limited to, claims based on theories of contract or tort, 

whether based on common law or otherwise. In addition, Erece agrees to waive any right he 

may have to pursue any claim or grievance through any IBM internal channel including, but not 

limited to, the IBM Open Door Policy. This Release covers both claims that Erece knows about 

and those that he does not know about that have accrued by the time he executes this Release, 

including the claims delineated in Section 4 of the Joint Stipulation, except that this release does 

not cover any claims, formal or informal, that Erece had asserted in writing as of November 21, 

2006 or any payments to which Erece may be entitled pursuant to the settlement of Kathi Cooper, 

et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Erece expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Erece 

acknowledges that he has voluntarily entered into this Release. Erece acknowledges that the 

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payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

Erece has been given the opportunity to take a period of at least twenty-one days within which to 

consider this Release. In the event Erece signs this Release before that time, he certifies, by such 

execution, that he knowingly and voluntarily waived the right to the full twenty-one days, for 

reasons personal to him, with no pressure from any IBM representative to do so.

Erece is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Erece hereby acknowledges that he did, prior to executing this Release, consult with his 

attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Erece signs it, and 

Erece may revoke it during that time frame. If Erece does not revoke prior to the conclusion of 

the seventh day after Erece signs this Release, this Release will become fully enforceable at that 

time.

Revocation of this Release by Erece will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Erece hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Allen Erece

NOTARIZATION

State of California

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Allen Erece 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 104 of 129
NYI-2292570v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF MARCIA HOWIE

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Marcia Howie (“Howie”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM of 

whatever kind including, but not limited to, those that are related to her employment with IBM or 

her claims in the Litigation.

Howie agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Howie agrees that she has voluntarily executed this Release on her own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that she may have now or in 

the future. She also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, Wisconsin’s Wage Laws, Wis. Stat. 

§§ 103.001 et seq. and 103.13, Wis. Admin. Code §§ DWD 274.01 et seq., DWD 274.06 and 

DWD 274.07, the Wisconsin Fair Employment Act, Wis. Stat. §§ 111.31 et seq., and any local 

anti-discrimination laws. Howie also agrees that this Release includes, but is not limited to, 

claims based on theories of contract or tort, whether based on common law or otherwise. In 

addition, Howie agrees to waive any right she may have to pursue any claim or grievance 

through any IBM internal channel inc luding, but not limited to, the IBM Open Door Policy. This 

Release covers both claims that Howie knows about and those that she does not know about that 

have accrued by the time she executes this Release, including the claims delineated in Section 4 

of the Joint Stipulation, except that this release does not cover any claims, formal or informal, 

that Howie had asserted in writing as of November 21, 2006 or any payments to which Howie 

may be entitled pursuant to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan 

and IBM Corporation (No. 99-829). 

Howie expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Howie 

acknowledges that she has voluntarily entered into this Release. Howie acknowledges that the 

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payment provided to her in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which she would not have been entitled had she not signed this Release.

Howie has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Howie signs this Release before that time, she certifies, by 

such execution, that she knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to her, with no pressure from any IBM representative to do so.

Howie is hereby advised to consult with her attorney about this Release prior to executing this 

Release. Howie hereby acknowledges that she did, prior to executing this Release, consult with 

her attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Howie signs it, and 

Howie may revoke it during that time frame. If Howie does not revoke prior to the conclusion of 

the seventh day after Howie signs this Release, this Release will become fully enforceable at that 

time.

Revocation of this Release by Howie will in no way alter her rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that she will no longer be entitled to any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Howie hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Marcia Howie

NOTARIZATION

State of Wisconsin

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Marcia Howie 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 106 of 129
NYI-2290655v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

FNU KENNEDY

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), Fnu 

Kennedy (“Kennedy”) agrees to release and hereby does release International Business Machines 

Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Kennedy agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Kennedy agrees that he has voluntarily executed this Release on his own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that he may have now or in 

the future. He also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the New Jersey Law Against Discrimination, 

any local anti-discrimination laws, and the New Jersey Wage and Hour Law, N.J.S.A. §§ 34:11-2 

et seq. Kennedy also agrees that this Release includes, but is not limited to, claims based on 

theories of contract or tort, whether based on common law or otherwise. In addition, Kennedy 

agrees to waive any right he may have to pursue any claim or grievance through any IBM internal 

channel including, but not limited to, the IBM Open Door Policy. This Release covers both 

claims that Kennedy knows about and those that he does not know about that have accrued by the 

time he executes this Release, including the claims delineated in Section 4 of the Joint Stipulation, 

except that this release does not cover any claims, formal or informal, that Kennedy had asserted 

in writing as of November 21, 2006 or any payments to which Kennedy may be entitled pursuant 

to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 

99-829). 

Kennedy expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. 

Kennedy acknowledges that he has voluntarily entered into this Release. Kennedy 

acknowledges that the payment provided to him in exchange for this Release constitutes 

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NYI-2290655v1

consideration for the Release, in that it is a payment to which he would not have been entitled had 

he not signed this Release.

Kennedy has been given the opportunity to take a period of at least twenty-one days within 

which to consider this Release. In the event Kennedy signs this Release before that time, he 

certifies, by such execution, that he knowingly and voluntarily waived the right to the full 

twenty-one days, for reasons personal to him, with no pressure from any IBM representative to do 

so.

Kennedy is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Kennedy hereby acknowledges that he did, prior to executing this Release, consult with 

his attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Kennedy signs it, 

and Kennedy may revoke it during that time frame. If Kennedy does not revoke prior to the

conclusion of the seventh day after Kennedy signs this Release, this Release will become fully 

enforceable at that time.

Revocation of this Release by Kennedy will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Re lease of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to receive any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Kennedy hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Fnu Kennedy

NOTARIZATION

State of New Jersey

County of _______________

Subscribed and sworn to me this ___ day of ____________________, 200___ by Fnu Kennedy 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

___________________________________

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 108 of 129
NYI-2292539v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF VINCENT LETIZIO

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Vincent Letizio (“Letizio”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Letizio agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Letizio agrees that he has voluntarily executed this Release on his own behalf, and also on behalf 

of any heirs, agents, representatives, successors and assigns that he may have now or in the 

future. He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, the Connecticut Minimum Wage Act, Conn. Gen. Stats. 

§§ 31-58 et seq., 31-13a, 31-60, 31-66, 31-68, and 31-76c, the Connecticut Human Rights and 

Opportunities Act, Conn. Gen. Stats. §§ 46a-51 – 46a-104, and any local anti-discrimination 

laws. Letizio also agrees that this Release includes, but is not limited to, claims based on 

theories of contract or tort, whether based on common law or otherwise. In addition, Letizio 

agrees to waive any right he may have to pursue any claim or grievance through any IBM 

internal channel including, but not limited to, the IBM Open Door Policy. This Release covers 

both claims that Letizio knows about and those that he does not know about that have accrued by 

the time he executes this Release, including the claims delineated in Section 4 of the Joint 

Stipulation, except that this release does not cover any claims, formal or informal, that Letizio 

had asserted in writing as of November 21, 2006 or any payments to which Letizio may be 

entitled pursuant to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and 

IBM Corporation (No. 99-829). 

Letizio expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Letizio 

acknowledges that he has voluntarily entered into this Release. Letizio acknowledges that the 

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NYI-2292539v1

payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

Letizio has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Letizio signs this Release before that time, he certifies, by 

such execution, that he knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to him, with no pressure from any IBM representative to do so.

Letizio is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Letizio hereby acknowledges that he did, prior to executing this Release, consult with 

his attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Letizio signs it, and 

Letizio may revoke it during that time frame. If Letizio does not revoke prior to the conclusion 

of the seventh day after Letizio signs this Release, this Release will become fully enforceable at 

that time.

Revocation of this Release by Letizio will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Letizio hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Vincent Letizio

NOTARIZATION

State of Connecticut

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Vincent 

Letizio who personally proved to me on the basis of satisfactory evidence to be the person who 

appeared before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 110 of 129
NYI-2290647v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

SHERRY MATTSON

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Sherry Mattson (“Mattson”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM 

of whatever kind including, but not limited to, those that are related to her employment with IBM 

or her claims in the Litigation.

Mattson agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Mattson agrees that she has voluntarily executed this Release on her own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that she may have now or in 

the future. She also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, Illinois Human Rights Law, and the Illinois 

Minimum Wage Law and the regulations promulgated thereunder. Mattson also agrees that this 

Release includes, but is not limited to, claims based on theories of contract or tort, whether based 

on common law or otherwise. In addition, Mattson agrees to waive any right she may have to 

pursue any claim or grievance through any IBM internal channel including, but not limited to, the 

IBM Open Door Policy. This Release covers both claims that Mattson knows about and those 

that she does not know about that have accrued by the time she executes this Release, including 

the claims delineated in Section 4 of the Joint Stipulation, except that this release does not cover 

any claims, formal or informal, that Mattson had asserted in writing as of November 21, 2006 or 

any payments to which Mattson may be entitled pursuant to the settlement of Kathi Cooper, et al. 

v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Mattson expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. 

Mattson acknowledges that she has voluntarily entered into this Release. Mattson 

acknowledge s that the payment provided to her in exchange for this Release constitutes 

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 111 of 129
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NYI-2290647v1

consideration for the Release, in that it is a payment to which she would not have been entitled 

had she not signed this Release.

Mattson has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Mattson signs this Release before that time, she certifies, 

by such execution, that she knowingly and voluntarily waived the right to the full twenty-one 

days, for reasons personal to her, with no pressure from any IBM representative to do so.

Mattson is hereby advised to consult with her attorney about this Release prior to executing this 

Release. Mattson hereby acknowledges that she did, prior to executing this Release, consult with 

her attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Mattson signs it, and 

Mattson may revoke it during that time frame. If Mattson does not revoke prior to the conclusion 

of the seventh day after Mattson signs this Release, this Release will become fully enforceable 

at that time.

Revocation of this Release by Mattson will in no way alter her rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that she will no longer be entitled to any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Mattson hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Sherry Mattson

NOTARIZATION

State of Illinois

County of _______________

Subscribed and sworn to me this ___ day of ___________________, 200___ by Sherry Mattson 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

___________________________________

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 112 of 129
NYI-2290651v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

STEVE PARK

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Steve Park (“Park”) agrees to release and hereby does release International Business Machines 

Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Park agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Park agrees that he has voluntarily executed this Release on his own behalf, and also on behalf of 

any heirs, agents, representatives, successors and assigns that he may have now or in the future. 

He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Minnesota Human 

Rights Act and any local antidiscrimination statute or ordinance, the Fair Labor Standards Act, 

the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans with 

Disabilities Act, the Equal Pay Act, Minn. Stat 541.07(5), Minn. Stat. §§ 177.21 et seq., 

177.25(1), 177.30, and 181.01 et seq., Minn. Rules 5200 et seq., and 26 Minn. Rev. Stat. § 661 et 

seq. Park also agrees that this Release includes, but is not limited to, claims based on theories of 

contract or tort, whether based on common law or otherwise. In addition, Park agrees to waive 

any right he may have to pursue any claim or grievance through any IBM internal channel 

including, but not limited to, the IBM Open Door Policy. This Release covers both claims that 

Park knows about and those that he does not know about that have accrued by the time he 

executes this Release, including the claims delineated in Section 4 of the Joint Stipulation, except 

that this release does not cover any claims, formal or informal, that Park had asserted in writing 

as of November 21, 2006 or any payments to which Park may be entitled pursuant to the 

settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-

829). 

Park expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Park

acknowledges that he has voluntarily entered into this Release. Park acknowledges that the 

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NYI-2290651v2

payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

Park has been given the opportunity to take a period of at least twenty-one days within which to 

consider this Release. In the event Park signs this Release before that time, he certifies, by such 

execution, that he knowingly and voluntarily waived the right to the full twenty-one days, for 

reasons personal to him, with no pressure from any IBM representative to do so.

Park is hereby advised to consult with his attorney about this Release prior to executing this Release. 

Park hereby acknowledges that he did, prior to executing this Release, consult with his attorney 

about this Release.

This Release is not effective or enforceable for the period of fifteen days after Park signs it, and 

Park may revoke it during that time frame. Any revocation must be in writing and delivered to IBM 

by hand or mail within 15 days after Park signs the Release. If delivered by mail, the revocation 

must be (1) postmarked within the 15 day period, (2) properly addressed to IBM; and (3) sent by

certified mail return receipt requested. If Park does not revoke prior to the conclusion of the 

fifteenth day after he signs this Release, this Release will become fully enforceable at that time.

Revocation of this Release by Park will in no way alter his rights and obligations under the Joint 

Stipulation of Settlement and Release of Class Claims, including the release of claims set forth 

therein, except that he will no longer be entitled to any service payment pursuant to Section 3.3 of 

the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Park hereby acknowledges that this Release sets forth the terms of the parties’ agreement clearly 

and unambiguously and that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Steve Park

NOTARIZATION

State of Minnesota

County of _______________

Subscribed and sworn to me this ___ day of ____________________, 200___ by Steve Park who 

personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

___________________________________

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 114 of 129
NYI-2292559v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF MICHELLE PEEL

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Michelle Peel (“Peel”) agrees to release and hereby does release International Business Machines 

Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM of 

whatever kind including, but not limited to, those that are related to her employment with IBM or 

her claims in the Litigation.

Peel agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Peel agrees that she has voluntarily executed this Release on her own behalf, and also on behalf 

of any heirs, agents, representatives, successors and assigns that she may have now or in the 

future. She also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, the North Carolina Wage and Hour Act, N.C. Gen. Stat. 

§§ 95-25.1 et seq., 95-25.6, 95-25.7, 95-25.7A, 95-25.8, 95-25.13, 95-25.15 and 95-25.22, and 

13 N.C. Admin. Code §§ 12.0801-12.0807, the North Carolina Equal Employment Practices Act, 

N.C. Gen. Stat §§ 143-422.1 – 143.422.3, the Florida Civil Rights Act, F.S.A. §§ 760.01-760.11, 

Florida wage and hour law including, but not limited to, F.S.A. § 448.01, and any local antidiscrimination laws. Peel also agrees that this Release includes, but is not limited to, claims

based on theories of contract or tort, whether based on common law or otherwise. In addition, 

Peel agrees to waive any right she may have to pursue any claim or grievance through any IBM 

internal channel including, but not limited to, the IBM Open Door Policy. This Release covers 

both claims that Peel knows about and those that she does not know about that have accrued by 

the time she executes this Release, including the claims delineated in Section 4 of the Joint 

Stipulation, except that this release does not cover any claims, formal or informal, that Peel had 

asserted in writing as of November 21, 2006 or any payments to which Peel may be entitled 

pursuant to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM 

Corporation (No. 99-829). 

Peel expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 115 of 129
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This Release does not release or waive claims arising after the execution of this Release. Peel 

acknowledges that she has voluntarily entered into this Release. Peel acknowledges that the 

payment provided to her in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which she would not have been entitled had she not signed this Release.

Peel acknowledges that she has had sufficient time to review and consider this Release prior to 

its execution. Further, Peel is hereby advised to consult with her attorney about this Release 

prior to executing this Release. Peel hereby acknowledges that she did, prior to executing this 

Release, consult with her attorney about this Release.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Peel hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Michelle Peel

NOTARIZATION

State of North Carolina

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Michelle Peel 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 116 of 129
NYI-2292550v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF DENISE RAMBSEL

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Denise Rambsel (“Rambsel”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM of 

whatever kind including, but not limited to, those that are related to her employment with IBM or 

her claims in the Litigation.

Rambsel agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Rambsel agrees that she has voluntarily executed this Release on her own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that she may have now or in 

the future. She also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, any state anti-discrimination laws including, 

but not limited to, Ohio Rev. Code § 4112.01 et. seq., Ohio Wage and Hour Laws, Ohio Rev. 

Code §§ 4111.01 et seq., 4111.08, 4111.03, 4111.10, 4113.15, and any local anti-discrimination 

laws. Rambsel also agrees that this Release includes, but is not limited to, claims based on 

theories of contract or tort, whether based on common law or otherwise. In addition, Rambsel 

agrees to waive any right she may have to pursue any claim or grievance through any IBM 

internal channel including, but not limited to, the IBM Open Door Policy. This Release covers 

both claims that Rambsel knows about and those that she does not know about that have accrued 

by the time she executes this Release, including the claims delineated in Section 4 of the Joint 

Stipulation, except that this release does not cover any claims, formal or informal, that Rambsel 

had asserted in writing as of November 21, 2006 or any payments to which Rambsel may be 

entitled pursuant to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and 

IBM Corporation (No. 99-829). 

Rambsel expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actua lly known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. 

Rambsel acknowledges that she has voluntarily entered into this Release. Rambsel 

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 117 of 129
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NYI-2292550v2

acknowledges that the payment provided to her in exchange for this Release constitutes 

consideration for the Release, in that it is a payment to which she would not have been entitled 

had she not signed this Release.

Rambsel has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Rambsel signs this Release before that time, she certifies, 

by such execution, that she knowingly and voluntarily waived the right to the full twenty-one 

days, for reasons personal to her, with no pressure from any IBM representative to do so.

Rambsel is hereby advised to consult with her attorney about this Release prior to executing this 

Release. Ramsel hereby acknowledges that she did, prior to executing this Release, consult with 

her attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Rambsel signs it, 

and Rambsel may revoke it during that time frame. If Rambsel does not revoke prior to the 

conclusion of the seventh day after Rambsel signs this Release, this Release will become fully 

enforceable at that time.

Revocation of this Release by Rambsel will in no way alter her rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that she will no longer be entitled to any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Rambsel hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Denise Rambsel

NOTARIZATION

State of Ohio

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Denise 

Rambsel who personally proved to me on the basis of satisfactory evidence to be the person who 

appeared before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 118 of 129
NYI-2289491v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

THOMAS ROSENBURG

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Thomas Rosenburg (“Rosenburg”) agrees to release and hereby does release International 

Business Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans 

(collectively, hereinafter “IBM”), from all claims, demands, actions or liabilities he may have 

against IBM of whatever kind including, but not limited to, those that are related to his 

employment with IBM or his claims in the Litigation.

Rosenburg agrees that this also releases from liability IBM’s agents, directors, officers, 

employees, representatives, predecessors, successors and assigns.

Rosenburg agrees that he has voluntarily executed this Release on his own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that he may have now or in 

the future. He also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the California Fair Employment and 

Housing Act, the California Family Rights Act, the California Labor Code and related 

regulations, and the California Unfair Competition Law, Cal. Bus. & Prof. Code § 17200 et seq. 

Rosenburg also agrees that this Release includes, but is not limited to, claims based on theories of 

contract or tort, whether based on common law or otherwise. In addition, Rosenburg agrees to 

waive any right he may have to pursue any claim or grievance through any IBM internal channel 

including, but not limited to, the IBM Open Door Policy. This Release covers both claims that 

Rosenburg knows about and those that he does not know about that have accrued by the time he 

executes this Release, including the claims delineated in Section 4 of the Joint Stipulation, except 

that this release does not cover any claims, formal or informal, that Rosenburg had asserted in 

writing as of November 21, 2006 or any payments to which Rosenburg may be entitled pursuant 

to the settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation

(No. 99-829). 

Rosenburg expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. 

Rosenburg acknowledges that he has voluntarily entered into this Release. Rosenburg 

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 119 of 129
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NYI-2289491v1

acknowledges that the payment provided to him in exchange for this Release constitutes 

consideration for the Release, in that it is a payment to which he would not have been entitled had 

he not signed this Release.

Rosenburg has been given the opportunity to take a period of at least twenty-one days within 

which to consider this Release. In the event Rosenburg signs this Release before that time, he

certifies, by such execution, that he knowingly and voluntarily waived the right to the full 

twenty-one days, for reasons personal to him, with no pressure from any IBM representative to do 

so.

Rosenburg is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Rosenburg hereby acknowledges that he did, prior to executing this Release, consult with 

his attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Rosenburg signs it, 

and Rosenburg may revoke it during that time frame. If Rosenburg does not revoke prior to the 

conclusion of the seventh day after Rosenburg signs this Release, this Release will become fully 

enforceable at that time.

Revocation of this Release by Rosenburg will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Rosenburg hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Thomas Rosenburg

NOTARIZATION

State of California

County of _______________

Subscribed and sworn to me this ___ day of ____________________, 200___ by 

____________________________ who personally proved to me on the basis of satisfactory 

evidence to be the person who appeared before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 120 of 129
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NYI-2289491v1

___________________________________

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 121 of 129
NYI-2292567v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF REBECCA TAYLOR

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Rebecca Taylor (“Taylor”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities she may have against IBM of 

whatever kind including, but not limited to, those that are related to her employment with IBM or 

her claims in the Litigation.

Taylor agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Taylor agrees that she has voluntarily executed this Release on her own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that she may have now or in 

the future. She also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the Washington Minimum Wage Act, Wash. 

Rev. Code §§ 49.46.090, 49.46.100, 49.46.130, and 49.46.070 et. seq., the Washington Law 

Against Discrimination, Wash. Rev. Code §§ 49.60.010 et. seq., Wash. Rev. Code. § 49.44.090, 

Wash. Rev. Code § 49.12.200, and any local anti-discrimination law. Taylor also agrees that this 

Release includes, but is not limited to, claims based on theories of contract or tort, whether based 

on common law or otherwise. In addition, Taylor agrees to waive any right she may have to 

pursue any claim or grievance through any IBM internal channel including, but not limited to, 

the IBM Open Door Policy. This Release covers both claims that Taylor knows about and those 

that she does not know about that have accrued by the time she executes this Release, including 

the claims delineated in Section 4 of the Joint Stipulation, except that this release does not cover 

any claims, formal or informal, that Taylor had asserted in writing as of November 21, 2006 or 

any payments to which Taylor may be entitled pursuant to the settlement of Kathi Cooper, et al. 

v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). .

Taylor expressly waives any and all rights that she may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Taylor 

acknowledges that she has voluntarily entered into this Release. Taylor acknowledges that the 

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 122 of 129
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NYI-2292567v1

payment provided to her in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which she would not have been entitled had she not signed this Release.

Taylor has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Taylor signs this Release before that time, she certifies, by 

such execution, that she knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to her, with no pressure from any IBM representative to do so.

Taylor is hereby advised to consult with her attorney about this Release prior to executing this 

Release. Taylor hereby acknowledges that she did, prior to executing this Release, consult with 

her attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Taylor signs it, and 

Taylor may revoke it during that time frame. If Taylor does not revoke prior to the conclusion of 

the seventh day after Taylor signs this Release, this Release will become fully enforceable at that 

time.

Revocation of this Release by Taylor will in no way alter her rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that she will no longer be entitled to any service payment pursuant to 

Section 3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions sha ll not in any way be affected or 

impaired thereby.

Taylor hereby acknowledges that she understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Rebecca Taylor

NOTARIZATION

State of Washington

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Rebecca 

Taylor who personally proved to me on the basis of satisfactory evidence to be the person who 

appeared before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 123 of 129
NYI-2290635v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF AND CLASS REPRESENTATIVE

EXALDO TOPACIO

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Exaldo Topacio (“Topacio”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Topacio agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Topacio agrees that he has voluntarily executed this Release on his own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that he may have now or in 

the future. He also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the New York Minimum Wage Act, New 

York Labor Law §§ 650 et seq. and 663(1), the New York Wage Payment Act, New York Labor 

Law § 190 et seq., New York State Department of Labor regulations, 12 N.Y.C.R.R. part 142, 

the New York State Human Rights Law and any local anti-discrimination laws. Topacio also 

agrees that this Release includes, but is not limited to, claims based on theories of contract or tort, 

whether based on common law or otherwise. In addition, Topacio agrees to waive any right he 

may have to pursue any claim or grievance through any IBM internal channel including, but not 

limited to, the IBM Open Door Policy. This Release covers both claims that Topacio knows 

about and those that he does not know about that have accrued by the time he executes this 

Release, including the claims delineated in Section 4 of the Joint Stipulation, except that this 

release does not cover any claims, formal or informal, that Topacio had asserted in writing as of 

November 21, 2006 or any payments to which Topacio may be entitled pursuant to the 

settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-

829). .

Topacio expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does not know or suspect to 

exist in his or her favor at the time of executing the release, which if known by him or her 

must have materially affected his or her settlement with the debtor.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 124 of 129
DRAFT OF 11/13/06

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NYI-2290635v2

This Release does not release or waive claims arising after the execution of this Release. 

Topacio acknowledges that he has voluntarily entered into this Release. Topacio acknowledges 

that the payment provided to him in exchange for this Release constitutes consideration for the 

Release, in that it is a payment to which he would not have been entitled had he not signed this 

Release.

Topacio has been given the opportunity to take a period of at least twenty-one days within which 

to consider this Release. In the event Topacio signs this Release before that time, he certifies, by 

such execution, that he knowingly and voluntarily waived the right to the full twenty-one days, 

for reasons personal to him, with no pressure from any IBM representative to do so.

Topacio is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Topacio hereby acknowledges that he did, prior to executing this Release, consult with his 

attorney about this Release.

This release is not effective or enforceable for the period of seven days after Topacio signs it, and 

Topacio may revoke it during that time frame. If Topacio does not revoke prior to the conclusion 

of the seventh day after Topacio signs this Release, this Release will become fully enforceable at 

that time.

Revocation of this Release by Topacio will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Topacio hereby acknowledges that he understands and agrees to this Release. 

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Exaldo Topacio

NOTARIZATION

State of New York

County of _______________

Subscribed and sworn to me this ___ day of ____________________, 200___ by Exaldo Topacio 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

___________________________________

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 125 of 129
NYI-2292531v1

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF LAURENCE TOSI

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Laurence Tosi (“Tosi”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Tosi agrees that this also releases from liability IBM’s agents, directors, officers, employees, 

representatives, predecessors, successors and assigns.

Tosi agrees that he has voluntarily executed this Release on his own behalf, and also on behalf of 

any heirs, agents, representatives, successors and assigns that he may have now or in the future. 

He also agrees that this Release covers, but is not limited to, claims arising from the Age 

Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act of 

1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor Standards 

Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the Americans 

with Disabilities Act, the Equal Pay Act, Massachusetts Wage and Hour Laws, 21 Mass. Gen. 

Laws Ch. 151 § 1A et seq., Massachusetts anti-discrimination laws, including but not limited to, 

Mass. Gen. Laws. Ch. 6 § 56, Mass. Gen. Laws Ch. 151B § 1 et seq., Mass. Gen. Laws Ch. 149 

§§ 24A-24J, Mass. Gen. Laws Ch. 149, § 52D, and any local anti-discrimination laws. Tosi also 

agrees that this Release includes, but is not limited to, claims based on theories of contract or tort, 

whether based on common law or otherwise. In addition, Tosi agrees to waive any right he may 

have to pursue any claim or grievance through any IBM internal channel including, but not 

limited to, the IBM Open Door Policy. This Release covers both claims that Tosi knows about 

and those that he does not know about that have accrued by the time he executes this Release, 

including the claims delineated in Section 4 of the Joint Stipulation, except that this release does 

not cover any claims, formal or informal, that Tosi had asserted in writing as of November 21, 

2006 or any payments to which Tosi may be entitled pursuant to the settlement of Kathi Cooper, 

et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-829). 

Tosi expressly waives any and all rights that he may have under any statute or common-law 

principle that would limit the effect of the foregoing Release to those claims actually known or 

suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

This Release does not release or waive claims arising after the execution of this Release. Tosi 

acknowledges that he has voluntarily entered into this Release. Tosi acknowledges that the 

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 126 of 129
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NYI-2292531v1

payment provided to him in exchange for this Release constitutes consideration for the Release, 

in that it is a payment to which he would not have been entitled had he not signed this Release.

Tosi has been given the opportunity to take a period of at least twenty-one days within which to 

consider this Release. In the event Tosi signs this Release before that time, he certifies, by such 

execution, that he knowingly and voluntarily waived the right to the full twenty-one days, for 

reasons personal to him, with no pressure from any IBM representative to do so.

Tosi is hereby advised to consult with his attorney about this Release prior to executing this 

Release. Tosi hereby acknowledges that he did, prior to executing this Release, consult with his 

attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Tosi signs it, and 

Tosi may revoke it during that time frame. If Tosi does not revoke prior to the conclusion of the 

seventh day after Tosi signs this Release, this Release will become fully enforceable at that time.

Revocation of this Release by Tosi will in no way alter his rights and obligations under the Joint 

Stipulation of Settlement and Release of Class Claims, including the release of claims set forth 

therein, except that he will no longer be entitled to any service payment pursuant to Section 3.3

of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Tosi hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Laurence Tosi

NOTARIZATION

Commonwealth of Massachusetts

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Laurence Tosi 

who personally proved to me on the basis of satisfactory evidence to be the person who appeared 

before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 127 of 129
NYI-2292541v2

GENERAL RELEASE (“RELEASE”)

OF PLAINTIFF FRANK VASTERLING

In exchange for good and valuable consideration described in Section 3.3 of the Joint Stipulation 

of Settlement and Release of All Claims (“Joint Stipulation”), entered into in Thomas Rosenburg, 

et al. v. International Business Machines Corp., Case No. 06-00430 PJH (the “Litigation”), 

Frank Vasterling (“Vasterling”) agrees to release and hereby does release International Business 

Machines Corporation, its subsidiaries and affiliates, and its and their benefits plans (collectively, 

hereinafter “IBM”), from all claims, demands, actions or liabilities he may have against IBM of 

whatever kind including, but not limited to, those that are related to his employment with IBM or 

his claims in the Litigation.

Vasterling agrees that this also releases from liability IBM’s agents, directors, officers, 

employees, representatives, predecessors, successors and assigns.

Vasterling agrees that he has voluntarily executed this Release on his own behalf, and also on 

behalf of any heirs, agents, representatives, successors and assigns that he may have now or in 

the future. He also agrees that this Release covers, but is not limited to, claims arising from the 

Age Discrimination in Employment Act of 1967, as amended, Title VII of the Civil Rights Act 

of 1964, as amended, Section 1981 of Title 42 of the United States Code, the Fair Labor 

Standards Act, the Family and Medical Leave Act of 1993, the Sarbanes-Oxley Act of 2002, the 

Americans with Disabilities Act, the Equal Pay Act, the Kentucky Wage and Hour Laws, KY.

REV. STAT. §§ 337.010 et seq., 337.020, 337.055, 337.060, 337.070, 337.285, 337.320, and 

337.385(1), Kentucky anti-discrimination laws, including but not limited to, KY. REV. STAT.

§§ 344.010 et seq., KY. REV. STAT. § 436.165, and any local anti-discrimination laws. Vasterling 

also agrees that this Release includes, but is not limited to, claims based on theories of contract 

or tort, whether based on common law or otherwise. In addition, Vasterling agrees to waive any 

right he may have to pursue any claim or grievance through any IBM internal channel including, 

but not limited to, the IBM Open Door Policy. This Release covers both claims that Vasterling 

knows about and those that he does not know about that have accrued by the time he executes 

this Release, including the claims delineated in Section 4 of the Joint Stipulation, except that this 

release does not cover any claims, formal or informal, that Vasterling had asserted in writing as 

of November 21, 2006 or any payments to which Vasterling may be entitled pursuant to the 

settlement of Kathi Cooper, et al. v. IBM Personal Pension Plan and IBM Corporation (No. 99-

829). 

Vasterling expressly waives any and all rights that he may have under any statute or commonlaw principle that would limit the effect of the foregoing Release to those claims actually known 

or suspected to exist, including, but not limited to, the provisions of section 1542 of the California 

Civil Code, to the extent deemed applicable. Section 1542 provides:

A general release does not extend to claims which the creditor does 

not know or suspect to exist in his or her favor at the time of 

executing the release, which if known by him or her must have 

materially affected his or her settlement with the debtor.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 128 of 129
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NYI-2292541v2

This Release does not release or waive claims arising after the execution of this Release. 

Vasterling acknowledges that he has voluntarily entered into this Release. Vasterling 

acknowledges that the payment provided to him in exchange for this Release constitutes 

consideration for the Release, in that it is a payment to which he would not have been entitled 

had he not signed this Release.

Vasterling has been given the opportunity to take a period of at least twenty-one days within 

which to consider this Release. In the event Vasterling signs this Release before that time, he 

certifies, by such execution, that he knowingly and voluntarily waived the right to the full 

twenty-one days, for reasons personal to him, with no pressure from any IBM representative to 

do so.

Vasterling is hereby advised to consult with his attorney about this Release prior to executing 

this Release. Vasterling hereby acknowledges that he did, prior to executing this Release, 

consult with his attorney about this Release.

This Release is not effective or enforceable for the period of seven days after Vasterling signs it, 

and Vasterling may revoke it during that time frame. If Vasterling does not revoke prior to the 

conclusion of the seventh day after Vasterling signs this Release, this Release will become fully 

enforceable at that time.

Revocation of this Release by Vasterling will in no way alter his rights and obligations under the 

Joint Stipulation of Settlement and Release of Class Claims, including the release of claims set 

forth therein, except that he will no longer be entitled to any service payment pursuant to Section 

3.3 of the Joint Stipulation of Settlement and Release of Class Claims.

In case any part of this Release shall be invalid, illegal or otherwise unenforceable, the validity, 

legality, and enforceability of the remaining provisions shall not in any way be affected or 

impaired thereby.

Vasterling hereby acknowledges that he understands and agrees to this Release.

This Release has been approved by the Court as part of its approval of the settlement of the 

Litigation.

DATED: ____________________________ BY: ________________________________

 Frank Vasterling

NOTARIZATION

Commonwealth of Kentucky

County of

Subscribed and sworn to me this ___ day of ____________________, 200___ by Frank 

Vasterling who personally proved to me on the basis of satisfactory evidence to be the person 

who appeared before me.

Case 4:06-cv-00430-PJH Document 96 Filed 01/11/07 Page 129 of 129