IN THE UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF NEW HAMPSHIRE 

IN RE TYCO INTERNATIONAL LTD., 

SECURITIES LITIGATION 

)

)

)

) 

) 

) 

MDL Docket No. 02-1335-PB 

This document relates to: 

Securities Action 

Civil Action No. 02-266-PB 

FINAL ORDER APPROVING SETTLEMENT, PLAN OF ALLOCATION AND 

ATTORNEYS’ FEES AND EXPENSE REIMBURSEMENT REQUEST

After a hearing before this Court on the 2nd day of November, 2007, to determine: (i) 

whether the terms and conditions of the Stipulation of Settlement dated July 6, 2007 between the 

Class Representatives, on behalf of themselves and the Class, on the one hand, and defendants 

Tyco International Ltd. (“Tyco”), Michael A. Ashcroft (“Ashcroft”), Mark A. Belnick 

(“Belnick”) and PricewaterhouseCoopers LLP (“PwC”) (“Settling Defendants”) (collectively 

with the Class Representatives, “Settling Parties”), on the other hand, including an Amendment 

as filed with the Court on July 12, 2007 and Amendment No. 2, as filed with the Court on 

October 24, 2007 (collectively, the “Settlement Agreement”), are fair, reasonable, and adequate 

settlement consideration for the dismissal of the Consolidated Securities Class Action Complaint 

dated January 28, 2003, (the “Complaint”) and the settlement of all Released Claims against the 

Tyco Settling Defendants’ Releasees and the PwC Releasees; (ii) whether the Settlement 

Agreement should be approved; (iii) whether the Plan of Allocation should be approved; (iv) 

whether judgment should be entered dismissing the Complaint on the merits and with prejudice 

in favor of the Settling Defendants and as against all persons or entities who are Class Members 

herein and who have not requested exclusion from the Class; and (v) whether and in what 

amount to award Co-Lead Counsel in attorneys’ fees and for reimbursement of expenses. 

Case 1:02-cv-01338-PB Document 3 Filed 03/23/09 Page 1 of 23
The Court having considered all matters submitted to it at the hearing and otherwise; and 

it appearing that a notice of the hearing substantially in the form approved by the Court was 

mailed to all persons or entities reasonably identifiable, who purchased or otherwise acquired 

Tyco Securities from December 13, 1999 to June 7, 2002, inclusive, at the respective addresses 

set forth in such records, and such notice was also forwarded to the beneficial owners identified 

by brokers and other nominee record owners, and that a summary notice of the hearing 

substantially in the form approved by the Court was published on at least one occasion in the 

USA Today, The New York Times, The Wall Street Journal, The Financial Times, The Sun 

Sentinel, Palm Beach Post, Chicago Tribune, Financial Times, PR Newswire and Union Leader

pursuant to the specifications of the Court as required by the Order Preliminarily Approving 

Proposed Settlement (“Hearing Order”) dated July 13, 2007; and the Court having considered 

and determined to approve the Plan of Allocation as a fair and reasonable method to allocate the 

Distribution Amount among the members of the Class; and the Court having considered and 

determined the fairness and reasonableness of the award of attorneys’ fees and expenses 

requested; and all capitalized terms used herein having the meanings as set forth and defined in 

the Settlement Agreement. 

NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 

1. The Court has jurisdiction over the subject matter of the Action and the 

Settling Parties, including all Class Members. 

2. Pursuant to Federal Rule of Civil Procedure 23(b)(3), the Class shall 

consist of all persons and entities who purchased or otherwise acquired Tyco Securities from 

December 13, 1999 through and including June 7, 2002, and who were damaged thereby, 

excluding Edward Federman, Richard J. Heger, Richard D. Power, Raymond Scott Stevenson, 

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and all the Defendants, all the officers, directors and partners thereof, members of their 

immediate families (parents, spouses, siblings, and children) and their legal representatives, 

heirs, successors and assigns, and any entity in which any of the foregoing have or had a 

Controlling Interest, including, without limitation, any of the following: K&D Trust, Kozlowski 

Family Partnership, L.P., Kozlowski Family 1998 Trust, Kozlowski Family Foundation, L. 

Dennis Kozlowski 1997 Foundation Trust, KMS Partnership, L.P., KMS Family Partnership 

L.P., KMS Family 1999 Trust, KMS Trust, KMS Family Corp., SFFP Trust, Swartz Family 

Foundation, Swartz Family Partnership, Mayo Realty Trust LLC, K Corp. LLC, DCS Family 

Partnership L.P., Endeavour Forever Corp., KFT Family Partnership, L.P., KFT Trust, Kozma 

Ltd., KD Nominee Trust, Whitehall Street Real Estate Ltd. Partnership, SEA, SEA Holdings 

LLC, 850 Lake Drive, LLC, 2365 South Ocean Blvd. Realty Trust, 447 Primavera Way, LLC, 24 

Straw’s Point Realty Trust, and GV Realty Trust. 

3. Also excluded from the Settlement are the Persons who submitted requests 

for exclusion in accordance with the Notice as listed on Exhibit A attached hereto. 

4. The Persons listed on Exhibit A, including both timely and untimely 

exclusions, shall not participate in the Net Cash Settlement Account or in any recovery received 

by the Class in connection with the Officer Assigned Claims. 

5. The Notice, the Summary Notice and the notice methodology 

implemented pursuant to the Settlement Agreement and the Court’s Orders (i) constituted the 

best practicable notice, (ii) constituted notice that was reasonably calculated, under the 

circumstances, to apprise Class Members of the pendency of the Actions, of the effect of the 

Settlement Agreement, including releases, of their right to object to the proposed Settlement, of 

 3 

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their right to exclude themselves from the Class, and of their right to appear at the Fairness 

Hearing, (iii) were reasonable and constituted due, adequate and sufficient notice to all persons 

or entities entitled to receive notice and (iv) met all applicable requirements of the Federal Rules 

of Civil Procedure, the United States Constitution (including the Due Process Clause), the 

Private Securities Litigation Reform Act of 1995, the Rules of the Court and any other applicable 

law. 

6. Final Settlement Approval Findings -- The Settlement Agreement is 

finally approved as fair, reasonable and adequate and consistent with and in compliance with all 

applicable requirements of the Federal Rules of Civil Procedure, the United States Constitution 

(including the Due Process Clause), the Private Securities Litigation Reform Act, the Rules of 

this Court and any other applicable law, and in the best interests of the Settling Parties and the 

Class Members and the Settling Parties are directed to consummate the Settlement in accordance 

with the terms and provisions of the Settlement Agreement. Unless otherwise defined in this 

Order, the capitalized terms in this Order have the same meaning as they have in the Settlement 

Agreement. 

7. The following actions are dismissed as against each and all of the Settling 

Defendants on the merits and with prejudice according to the terms set forth in the Settlement 

Agreement: Williams, et al. v. Tyco International, et al., 1:02-cv-00266-PB (D.N.H.); Philip 

Cirella v. Tyco International, 1:03-cv-01348-PB (D.N.H.); Abowitz v. Tyco International; 02-

CV-1033 (S.D.N.Y.); Ament v. Tyco International, 02-CV-3402 (S.D.N.Y.); Brody v. Tyco 

International, 02-CV-2190 (S.D.N.Y.); Carlin v. Tyco International, 02-CV-0878 (S.D.N.Y.); 

Casey v. Tyco International, 02-80164 (S.D. Fla.); Chambers v. Tyco International, 02-CV-2607 

(S.D.N.Y.); Danforth v. Tyco International, 02-1365-B (S.D. Fla.); Engel v. Tyco International, 

 4 

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02-CV-1150 (S.D.N.Y.); Fagan v. Tyco International, 02-80118 (S.D. Fla.); Fink v. Tyco 

International, 02-CV-2260 (S.D.N.Y.); Fischbein v. Tyco International, 02-1364-B (S.D. Fla.); 

Garcia v. Tyco International, 02-CV-1464 (S.D.N.Y.); Goldstein v. Tyco International, 02-1034 

(S.D.N.Y.); Hoyt v. Tyco International, 02-780152 (S.D. Fla.); Jaffee v. Tyco International, 02-

21048 (S.D. Fla.); Kelley v. Tyco International, 02-80120 (S.D. Fla.); Leone v. Tyco 

International, 02-CV-2056 (S.D.N.Y.); Lock v. Tyco International, 02-CV-2080 (S.D.N.Y.); 

Meran v. Tyco International, 02-80189 (S.D. Fla.), Murphy v. Tyco International, 02-CV-2356 

(S.D.N.Y.); Rappaport v. Tyco International, 02-CV-1393 (S.D.N.Y.); Smith v. Tyco 

International, 02-CV-1288 (S.D.N.Y.); and Sved v. Tyco International, 02-CV-1293 (S.D.N.Y.). 

8. Subject to paragraph 12 hereof, with respect to the Tyco Settling 

Defendants on the Tyco Settlement Effective Date and with respect to PwC, on the PwC 

Settlement Effective Date, Class Representatives, and any and all Class Members (including 

those Class Members who are parties to any other litigation, arbitration or other proceedings 

against, or have any Claim against any of the Tyco Settling Defendants’ Releasees or the PwC 

Releasees that is a Released Claim with respect to the Tyco Settling Defendants, on the Tyco 

Settlement Effective Date and with respect to PwC, on the PwC Settlement Effective Date), on 

behalf of themselves, their heirs, executors, administrators, beneficiaries, predecessors, 

successors, affiliates (as defined in 17 C.F.R. Part 210.1-02.b), assigns, and any Person claiming 

by or through any of the Class Members, for good and sufficient consideration, the receipt and 

adequacy of which are hereby acknowledged, shall be deemed to have, and by operation of law 

and of this Order shall have, fully, finally, and forever released, relinquished, settled, and 

discharged: 

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a. all Released Claims against any and all of the Tyco Settling 

Defendants’ Releasees and the PwC Releasees, whether or not a Proof of Claim has been 

executed and/or delivered by, or on behalf of, any such Class Member; 

b. all Claims against Co-Lead Counsel or any or all Class 

Representatives, the Settling Defendants, Tyco Settling Defendants’ Releasees and the PwC 

Releasees and/or their respective counsel, that relate in any way to any or all acts, omissions, 

nondisclosures, facts, matters, transactions, occurrences or oral or written statements or 

representations in connection with or directly or indirectly relating to the prosecution, defense or 

settlement of the Actions or to the Settlement Agreement, or to attorneys’ fees, costs or 

disbursements incurred by Co-Lead Counsel or other counsel representing Class Representatives, 

or the Class Members in the Actions. 

9. Subject to paragraph 12 hereof, with respect to the Tyco Settling 

Defendants, on the Tyco Settlement Effective Date and with respect to PwC, on the PwC 

Settlement Effective Date, all Settling Defendants on behalf of themselves and the Tyco Settling 

Defendants’ Releasees and the PwC Releasees, their heirs, executors, administrators, 

predecessors, successors, affiliates (as defined in 17 C.F.R. Part 210.1-02.b), assigns, any Person 

claiming by or through any of the Tyco Settling Defendants’ Releasees or the PwC Releasees 

and any Person representing any of the Tyco Settling Defendants’ Releasees or the PwC 

Releasees, for good and sufficient consideration, the receipt and adequacy of which are hereby 

acknowledged, shall be deemed to have, and by operation of law and of this Order shall have, 

fully, finally, and forever released, relinquished, settled, and discharged Co-Lead Counsel and 

any or all Class Representatives and members of the Class or their attorneys from any and all 

Released Settling Defendants’ Claims. 

 6 

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10. Subject to paragraph 12 hereof, with respect to the Settling Defendants, on 

the later of the Tyco Settlement Effective Date or the PwC Settlement Effective Date, the Tyco 

Settling Defendants’ Releasees on the one hand, and the PwC Releasees on the other hand, shall 

be deemed to have, and by operation of law and of this Order, shall have fully, finally and 

forever released, relinquished and forever discharged any and all claims (both known claims and 

Unknown Claims), rights or causes of action (whether based on federal, state or any other law, 

rule or regulation), including the Tyco Claims, that they could have asserted against each other 

which arise out of, relate to, or are based upon, directly or indirectly, the Settlement of the 

Actions, the Settlement Agreement, or the subject matter, allegations, transactions, including 

financial statements and audit opinions facts, matters, occurrences, representations or omissions 

involved, set forth, or referred to in the Complaint. 

11. Subject to paragraph 12 hereof, with respect to the Tyco Settling 

Defendants, on the Tyco Settlement Effective Date and with respect to PwC, on the PwC 

Settlement Effective Date, Co-Lead Counsel, and any or all Class Representatives, on behalf of 

themselves, their heirs, executors, administrators, predecessors, successors, affiliates (as defined 

in 17 C.F.R. Part 210.1-02.b), assigns, any Person claiming by or through any of them and any 

Person representing any or all Class Representatives, for good and sufficient consideration, the 

receipt and adequacy of which are hereby acknowledged, shall be deemed to have, and by 

operation of law and of this Order shall have, fully, finally, and forever released, relinquished, 

settled, and discharged the Tyco Settling Defendants’ Releasees and the PwC Releasees from 

any and all Released Claims. 

 7 

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12. Notwithstanding paragraphs 8 through 11 above, nothing in this Order 

shall bar any action or claim by any of the Settling Parties or their Releasees to enforce or 

effectuate the terms of the Settlement Agreement or this Order. 

13. Nothing in this Order shall in any way limit or restrain the ability of the 

Tyco Settling Defendants, the Tyco Settling Defendants’ Releasees, PwC or the PwC Releasees

to raise or assert defenses or affirmative defenses to any allegations of liability or damages in 

pending non-settled actions or actions brought in the future related to, arising out of, or based on 

the subject matter, allegations, transactions, facts, occurrences, representations or omissions, 

involved, set forth or referred to in the Complaint, the MDL Securities Action or the Related 

Actions. 

14. Final Plan of Allocation Findings -- The Plan of Allocation is approved as 

fair and reasonable, and Co-Lead Counsel and the Claims Administrator are directed to 

administer the Settlement Agreement in accordance with its terms and provisions. 

15. No Class Member shall have any claim against Co-Lead Counsel, the 

Claims Administrator or other agent designated by Co-Lead Counsel based on the distributions 

made substantially in accordance with the Settlement and Plan of Allocation as approved by the 

Court and further orders of the Court. No Class Member shall have any claim against the Tyco 

Settling Defendants, PwC, their counsel or any of the Tyco Settling Defendants’ Releasees or 

PwC Releasees with respect to the investment or distribution of the Distribution Amount, the 

determination, administration, calculation or payment of claims, the administration of the Escrow 

Accounts, or any losses incurred in connection therewith, the Plan of Allocation, or the giving of 

notice to Class Members. 

 8 

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16. Bar Order - (i) As provided in Section 21D-4(f)(7)(A) of the Private 

Securities Litigation Reform Act of 1995, 15 U.S.C. §78u-4(f)(7)(A) and to the maximum extent 

permissible under law, (a) the Non-Settling Defendants are hereby permanently barred, enjoined, 

and restrained from commencing, prosecuting, or asserting any claim for or otherwise seeking 

contribution against any Tyco Settling Defendants’ Releasees or PwC Releasees based upon, 

relating to, or arising out of the Released Claims; (b) the Tyco Settling Defendants’ Releasees 

and the PwC Releasees are hereby permanently barred, enjoined, and restrained from 

commencing, prosecuting, or asserting any claim for or otherwise seeking contribution against 

any of the Non-Settling Defendants, based upon, relating to, or arising out of the Released 

Claims and (ii) the Tyco Settling Defendants’ Releasees on the one hand, and the PwC Releasees 

on the other hand, are hereby permanently barred, enjoined, and restrained from commencing, 

prosecuting, or asserting any claim for contribution, indemnification or otherwise against each 

other, based upon, relating to, or arising out of the Released Claims. For the purposes of this 

Order, (i) and (ii) above are collectively referred to as the Bar Order. For purposes of this 

paragraph only, Non-Settling Defendants shall include any person whom the Class 

Representatives may hereafter sue, on behalf of the Class based upon, relating to, or arising out 

of the Released Claims. Inclusion of the Bar Order in this Order is material to Settling 

Defendants’ decision to participate in this Settlement Agreement.

17. The Court hereby approves the Stipulations Withdrawing Objections at 

Docket Nos. 1150, 1151, 1152 and 1159 and Co-Lead Counsel, the former objectors and their 

counsel are hereby directed to abide by the terms set forth in those Stipulations. 

18. Final Fee Award and Expense Reimbursement Request Findings -- 

Plaintiff’s Counsel are hereby awarded $28,938,412.74 in reimbursement of expenses, which 

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expenses shall be paid to Plaintiff’s Counsel from the Settlement Amount (the “Expense 

Reimbursement Award”) and14.5% of the Total Cash Settlement Amount less the Expense 

Reimbursement Award (the “Fee Award”), which sum the Court finds to be fair and reasonable. 

Interest shall be paid to Plaintiff’s Counsel on the Expense Reimbursement Award, calculated 

from the date such Settlement Amount was funded to the date of payment at the same net rate 

that the Settlement Amount earns. Attorneys’ fees of 14.5% are also hereby awarded on any 

future amount(s) contributed to the Settlement Fund by Tyco in accordance with the Officer 

Assigned Claims pursuant to the Stipulation of Settlement. The Fee Award shall be allocated 

among counsel in a fashion which, in the opinion of Co-Lead Counsel, fairly compensates 

counsel for their respective contributions in the prosecution and/or settlement of the Action. 

19. The Court finds that the objections at Docket Nos. 1105, 1108, 1110, 

1115, 1121, 1126, 1130,1133,1135,1136 and 1138 have been properly withdrawn 

20. The Court finds that the objections at Docket Nos. 1106, 1109, 1124, 

1128, 1129, 1131, 1132, 1134, 1137, 1156, 1161, 1163, 1165, 1166, 1167, 1168, 1169, 1175 and 

1176 are hereby overruled. 

21. Neither this Order, the Settlement Agreement, nor any of its terms and 

provisions, nor any of the negotiations or proceedings connected with it, nor any of the 

documents or statements referred to therein shall be: 

a. offered or received against the Settling Defendants as evidence of 

or construed as or deemed to be evidence of any presumption, concession, or admission by any 

Settling Defendants with respect to the truth of any fact alleged by any of the Class 

Representatives, the Class, or the validity of any claim that has been or could have been asserted 

 10 

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in the Action or in any litigation, or the deficiency of any defense that has been or could have 

been asserted in the Action or in any litigation, or of any liability, negligence, fault, or 

wrongdoing of any Settling Defendant; 

b. offered or received against any Settling Defendant as evidence of a 

presumption, concession or admission of any fault, misrepresentation or omission with respect to 

any statement or written document approved or made by any Settling Defendant; 

c. offered or received against any Settling Defendant as evidence of a 

presumption, concession or admission with respect to any liability, negligence, fault or 

wrongdoing, or in any way referred to for any other reason as against any Settling Defendant in 

any other civil, criminal or administrative action or proceeding, other than such proceedings as 

may be necessary to effectuate the provisions of the Settlement Agreement and this Order; 

provided, however, that if the Settlement Agreement is approved by the Court, Settling 

Defendants may refer to it to effectuate the liability protection granted it hereunder; 

d. construed against any Settling Defendant as an admission or 

concession that the consideration to be given hereunder represents the amount which could be or 

would have been recovered from any Settling Defendant after trial; and 

e. construed as or received in evidence as an admission, concession 

or presumption against the Class Representatives or any of the Class Members that any of their 

claims are without merit, or that any defense asserted by any Settling Defendant has any merit, or 

that damages recoverable under the Complaint would not have exceeded the Settlement Amount. 

 11 

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22. The Court retains continuing and exclusive jurisdiction over the Action for 

the reasons and purposes, and subject to the conditions, set forth in the Settlement Agreement. 

23. The Action, and all Related Actions pending in this Court, shall be 

dismissed as against each and all of the Settling Defendants on the merits and with prejudice, 

without costs to any party, upon entry of this Order. 

24. This Action has been pending since the first of the constituent actions 

were filed in 2002. The Settlement Agreement resolves all of the claims asserted by the Class 

against the Settling Defendants and pursuant to the above bar orders bars any claims for 

contribution by or against any Settling Defendant. The claims asserted against the Settling 

Defendants, which are now settled, raise issues that are separable from the remaining claims of 

the Class Representatives and the Classes against the Non-Settling Defendants. Permitting that 

immediate appeal, if taken, of this Order would not result in any duplication of review by an 

appellate court, because if an appellate court were to vacate the Settlement Agreement, then the 

parties may reasonably continue their prosecution or defense of the claims while this Court 

continues to preside over other related claims, without a waste of time or judicial resources. If 

this Order were not immediately appealable, once an appeal were ripe after the conclusion of the 

entire coordinated litigation, and if the appellate court vacated this Order, then this Court would 

face re-trying the entire litigation as to the Settling Defendants, thereby wasting judicial 

resources. 

25. By reason of the finding in the previous paragraph, there is no just reason 

for delay in the entry of this Order and immediate entry by the Clerk of the Court is expressly 

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 13 

directed pursuant to Rule 54 (b) of the Federal Rules of Civil Procedure. The Actions are not 

dismissed with respect to claims against the Non-Settling Defendants. 

26. The Court having determined that there is no just reason for delay, hereby 

Orders entry of FINAL JUDGMENT with respect to the Settling Defendants, and in accordance 

with Federal Rule of Civil Procedure 54(b) this 19th day of December, 2007. 

/s/Paul Barbadoro

 Paul Barbadoro 

 United States District Judge 

cc: Counsel of Record 

Case 1:02-cv-01338-PB Document 3 Filed 03/23/09 Page 13 of 23
 EXHIBIT A

Timely 

Exclusion 

Number Name or Title Name or Title

1 ROBERT M WILLIAMS

2 MARSHALL F CAROL E GOLDBERG TRUSTEE THE GOLDBERG FAMILY

3 VIRGINIA MACKENZIE MCNEAR

4 AUBREY V DAVISSON

5 WILLIAM A HART

6 MS CAROLYN H MILLER

7 CHRISTOPHER M. WIEDENMAYER CGM IRA ROLLOVER CUSTODIAN

8 DAVID E BEER CGM IRA CUSTODIAN

9 EDWARD GEORGE CONNELLY CGM IRA CUSTODIAN

10 JAY H. ROSSBACH LINDA ROSSBACH TTEE

11 STEPHEN J. HAYDOCK ELAINE J. HAYDOCK TTEE

12 JANET M SMITH CGM IRA ROLLOVER CUSTODIAN

13 DEAN S EITEMAN IRA FCC AS CUSTODIAN

14 ELFRIEDE H EITEMAN REV TRUST

15 LEON M CANZIANI CGM IRA BENEFICIARY CUSTODIAN

16 DORIS B SCOTT DEC'D IRA FCC AS CUSTODIAN

17 BARBARA H MURPHY & RICHARD MURPHY JT TEN

18 WILLIAM H. FAULHABER AND DOLORES A. FAULHABER JTWROS

19 JOHN W. MONEY CGM IRA CUSTODIAN

20 JUDY GAURON

21 JOSEPHINE J PETERSEN

22 SARAH W KORN

23 KENNETH GAZDAG & MARY GAZDAG JT TEN

24 ELIZABETH H HOUSER CGM IRA CUSTODIAN

25 GRAHAM ROWLEDGE JOHN

26 R DIANE & MARTIN A RAFFONE JT TEN

27 LUCY B. MCGOWAN TTEE FBO LUCY B. MCGOWAN

28 ELSA O LHOMMEDIEU

29 JDJ FAMILY HOLDINGS LTD

30 RUTH A EMERY

31 DAVID R SLOCUM

32 BARBARA A KONDILIS

33 JANET E DOSTAL

34 KENNETH & MARY ELSIE SUTCLIFFE

35 RODGER A SPRINGER IRA

36 JEANNETTE RHOADS NESBIT TTEE FBO JEANNETTE RHOADS NESBIT

37 ALFRED A MARTINEZ

38 THOMAS KEPHART

39 JOANNE L DIAMOND SAM:1838 INVESTMENT 1838L3-L

40 ALBERT G STROTHERS REVOCABLE LIVING TRUST

41 HAROLD ZECKEL

42 SWENT FAMILY LLC

43 TRAVIS CAVENS AND PHYLLIS CAVENS COMM PROP

44 GERALDINE THORNE CGM IRA ROLLOVER CUSTODIAN

Tyco International, Ltd. Securities Litigation Settlement 

1 of 10 12/19/2007

Case 1:02-cv-01338-PB Document 3 Filed 03/23/09 Page 14 of 23
Timely 

Exclusion 

Number Name or Title Name or Title

45 JAMES C BRAY CGM IRA ROLLOVER CUSTODIAN

46 HELEN HIRSHEY

47 LOREN M HOLMES

48 SHIRLEE J HOLMES

49 NORMAN P SWENT(DECEASED) & DOROTHY M SWENT

50 BERNARD E SCHMITT

51 NORMA J BRADFISH

52 HAROLD P HOUSER

53 WILLIAM E MATCHETT JR

54 MAE FEEBACK

55 STEVEN C & MARGARET P SEARS

56 MRS JOYCE M DIEWALD

57 JEAN E KERR

58 DOROTHY D RUPEL TTEE THE THEODORE J RUPEL &

59 FMT CO CUST IRA FBO CHARLES C NOSLEY

60 CUL GENERAL (UNALLOCATED) JPMORGAN

61 INDIANA LUMBERMENS MUTUAL INS 

ZAZOV JPMORGAN

62 STATE OF NEW JERSEY DEPT OF TEASURY ( #5140 )

63 A.F. & ELDORA M AGENA TRUST ELDORA M AGENA TTEE UA DTD

64 STATE OF NEW JERSEY, DEPT OF 

TREASURY DIVISION OF INVESTMENTS

65 STATE OF NEW JERSEY, DEPARTMENT 

OF TREAS DIVISION OF INVESTMENTS

66 STATE OF NEW JERSEY, DEPARTMENT 

OF TREAS DIVISION OF INVESTMENTS

67 STATE OF NEW JERSEY, DIVISION OF 

INVESTM

TTEES FOR SUPPORT OF PUBLIC 

SCHOOLS FUND

68 STATE OF NEW JERSEY, DEPT OF 

TREAS DIVISION OF INVESTMENTS

69 MARIE R COTHERN

70 CAROL E RYDEN

71 DORIS A BAKER ACCESS IRA #2

72 MARJORIE CONNOR TTEE FBO MARJORIE CONNOR

73 IRENE E MURRAY CHARLES SCHWAB & CO INC CUST

74 GARY G WEBB & IRIS J WEBB

75 FRANK E BELL(DECD) & FAITH SOUTHWORTH P.R.

76 EUGENIA Y ALEXION

77 PRISCILLA J WACKER

78 OSCAR C HEDRICH

79 ELSA GLENN PERKINS TTEE FBO MARGERY PAGE TRUST

80 MARGUERITE M ROYSTON

81 JERRY RHODERICK

82 ELTER L KOWALSKI IRA FCC AS CUSTODIAN

83 MARTHA S SPRAKE IRA FCC AS CUSTODIAN

84 EDWARD D JONES & CO CUSTODIAN FBO ELIZABETH L WITHERS IRA

85 CLYDE N MCWATERS IRA CIBC WORLD MARKETS CORP CUST

86 ELIZABETH BONVILLIAN

87 BERNICE MCGEE

2 of 10 12/19/2007

Case 1:02-cv-01338-PB Document 3 Filed 03/23/09 Page 15 of 23
Timely 

Exclusion 

Number Name or Title Name or Title

88 PATRICIA LEE ERKSON

89 MARY A PECK TTEE MARY A PECK TRUST

90 THERESA D DOSS TTEE THERESA D DOSS TRUST

91 SHARON L JOHNSON

92 JOHN TOMILO GEORGIA J TOMILO TR UA 04 23 98

93 D T SHANTHA

94 AFFINITY MORTGAGE LLC

95 MARILYN S FEARNLEY IRA BEAR STEARNS SEC CORP CUST

96 RICHARD W HENLEY

97 JOHN H BUNT JR

98 HAROLD A KERSTETTER & JOSEPHIN P KERSTETTER TEN ENT

99 JOHN TERENCE BRACK

100 ROBERT D LEHR

101 LINDA L BARNES IRA

102 SOPI AN INVESTMENT CLUB

103 BETTY B RICHARDS

104 PETER JAMES BULLOCH

105 HELEN PAPPAS TTEE FBO HELEN PAPPAS

106 LET IT RIDE INVESTMENTS C/O TRICIA PENDERGRAFT

107 ROBERT W SIBEL & RUTH F SIBEL JT TEN

108 JOHN C PRIESTLEY II IRA

109 PATRICIA CONNELLY R/O IRA FCC AS CUSTODIAN

110 TRUST COMPANY OF THE WEST AS 

CUST IFIN, LP-MC

111 TRUST COMPANY OF THE WEST AS 

CUST HI CHARITABLE REM

112 THOMAS H BUTLER

113 HARRY E STICKLER

114 DIANE L VAN VONDEREN

115 RUTH E NAYLOR RUTH ELEANOR NAYLOR TRUST

116 ELISE WENDEL MURRAY

117 TYRONE DOUGLAS BEASON

118 HOWARD F MANCHA

119 STEVEN W HAHN

120 BRIGGS FAMILY TRUST RICHARD L. BRIGGS & LINA

121 PHYLLIS A CLARK

122 FRANCES MARQUIS

123 CHESTER L BUCKNER AND RUBY H BUCKNER TRUST DTD 09/25/98

124 NADA KOZUL

125 MURRAY J SMIDT

126 JUDITH K KEATON

127 NORMAN R KOUBA TTEE NORMAN R KOUBA

128 DORIS G SYLVEST

129 MARIO J MOSSOTTO & ANN MOSSOTTO TR UA 01 06 93

130 JEFFREY BRUCE SCIALLO

131 DOMENICA M MACERATA MGD

132 SHIRLEY J MEADOWS J ELMER MEADOWS

133 LEROY JOSEPH STREIT TTEE AND DOROTHY HIGGINS STREIT TTEE

134 WALTER B MESEROLL & FLORENCE MESEROLL

3 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

135 JUDY C SMITH IRA ROLLOVER

136 JOHN W PEPPER AND PATRICIA L PEPPER TRUSTEES

137 PAMELA KOMENDA AKA PAMELA KEGELES

138 MUTUAL FINANCIAL SERVICES FUND A SERIES OF FRANKLIN SERIES FUND

139 HILARY MARGARET CLAYTON

140 MUTUAL BEACON FUND

A SERIES OF FRANKLIN MUTUAL SERIES 

FUND

141 MARY YARKOSKY CGM IRA ROLLOVER CUSTODIAN

142 JOSEPH SCHERPF

143 L RICHARD MOWERY IRA RAYMOND JAMES & ASSOC INC CSDN

144 MUTUAL DISCOVERY SECURITIES 

FUND

A SERIES OF FRANKLIN TEMPLETON 

VARIABLE

145 MUTUAL SHARES SECURITIES FUND

A SERIES OF FRANKLIN TEMPLETON 

VARIABLE

146 MUTUAL BEACON FUND

147 MUTUAL DISCOVERY FUND

A SERIES OF FRANKLIN MUTUAL SERIES 

FUND

148 MUTUAL SHARES FUND

A SERIES OF FRANKLIN MUTUAL SERIES 

FUND

149 MUTUAL QUALIFIED FUND

A SERIES OF FRANKLIN MUTUAL SERIES 

FUND

150 FRANKLIN MUTUAL BEACON FUND A SUBFUND OF FRANKLIN TEMPLETON

151 THOMAS JASIN

152 TONI D PARKER

153 IRIS RAE CRAWFORD T/O/D THE SEVENTH-DAY

154 COMMONWEALTH OF 

MASSACHUSETTS

PENSION RESERVES INVESTMENT 

TRUST

155 MERRILL LYNCH US DYNAMIC FUND C/O BLACKROCK ADVISORS, LLC

156 MERRILL LYNCH GLOBAL EQUITY FUND C/O BLACKROCK ADVISORS, LLC

157 MASTER ENHANCED S&P 500 SERIES C/O BLACKROCK ADVISORS, LLC

158 MERRILL LYNCH BALANCED 

PORTFOLIO FUND C/O BLACKROCK ADVISORS, LLC

159 MERRILL LYNCH INSTITUTIONAL FCP 

GLOBAL EQUITY EX-JAPAN FUND

160 MERRIL LYNCH GLOBAL BALANCED 

FUND C/O BLACKROCK ADVISORS LLC

161 BLACKROCK ASSET ALLOCATION 

PORTFOLIO

(LARGE CAP GROWTH) AS SUCCESSOR 

IN

162 BLACKROCK WORLD INDEX SERIES C/O BLACKROCK ADVISORS LLC

163 BLACKROCK CAPITAL APPRECIATION 

PORTFOLIO

AS SUCCESSOR IN INTEREST TO SSR 

LEGACY

164 BLACKROCK LARGE CAP VALUE SSR 

TEST AS

SUCCESSOR IN INTEREST TO SSR 

LARGE CAP

165 BLACKROCK GLOBAL ALLOCATION 

FUND, INC.

AS SUCCESSOR IN INTEREST TO 

BLACKROCK

166 MASTER LARGE CAP CORE PORTFOLIO C/O BLACKROCK ADVISORS LLC

4 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

167 BLACKROCK LARGE CAP CORE 

PORTFOLIO

MASTER AS SUCCESSOR IN INTEREST 

TO

168 EQUITY INDEX TRUST SERIES MASTER C/O BLACKROCK ADVISORS LLC

169 MLIT SPECIALIST INTERNATIONAL 

NORTH AMERICAN FUND

170 MERRILL LYNCH INTERNATIONAL 

INVESTMENT FUNDS US EQUITY FUND

171 MLIIF GLOBAL EQUITY DIVERSIFIED 

FUND C/O BLACKROCK ADVISORS, LLC

172 MERRILL LYNCH INTERNATIONAL 

INVESTMENT FUNDS GLOBAL FUND VALUE

173 BLACKROCK GLOBAL ALLOCATION 

FUND INC C/O BLACKROCK ADVISORS LLC

174 DC AMERICAN GROWTH FUND C/O BLACKROCK ADVISORS, LLC

175 BLACKROCK HIGH YIELD BOND 

PORTFOLIO C/O BLACKROCK ADVISORS LLC

176 BLACKROCK MID CAP VALUE 

OPPORTUNITIES FD C/O BLACKROCK ADVISORS, LLC

177 BLACKROCK GLOBAL TECHNOLOGY 

FUND INC C/O BLACKROCK ADVISORS LLC

178 BLACKROCK SERIES FUND: 

BLACKROCK GLOBAL ALLOCATION PORTFOLIO

179 BLACKROCK LARGE CAP CORE FUND 

AS SUCC

BLACKROCK INVESTMENT TRUST 

PORTFOLIO

180 MASTER S&P 500 INDEX SERIES FUND C/O BLACKROCK ADVISORS LLC

181 BLACKROCK VARIABLE SERIES FUNDS, 

INC.:

BLACKROCK GLOBAL ALLOCATION V.I. 

FUND

182 BLACKROCK TOTAL RETURN 

PORTFOLIO II C/O BLACKROCK ADVISORS, LLC

183 BLACKROCK VARIABLE SERIES FUNDS 

INC.: BLACKROCK LARGE CAP CORE VI FUND

184 BLACKROCK INSTITUTIONAL EQUITY 

FUNDS NORTH AMERICAN FUND

185 BLACKROCK SELECT 

EQUITY/(INVESTMENT TR)

SST-INV TRUST TEST AS SUCC IN 

INTEREST

186 ROBERT L HESS

187 BLACKROCK VARIABLE SERIES FUND.: BLACKROCK S&P 500 INDEX FUND

188 THE HESS FAMILY TRUST DTD 8.3.89 ROBERT M & ROSEMARIE HESS TTEES

189 THE LITVACK-CURTIS FAMILY TRUST FRANK LITVACK TRUSTEE

190 CALMEDICA LLC

191 FEDERATED AMERICAN LEADERS 

FUND II STEPHEN LOWEY

192 FEDERATED STOCK TRUST STEPHEN LOWEY

193 FEDERATED TOTAL RETURN BOND 

FUND (SUCC T

TO INTEREST TO FEDERATED 

MANAGED INCOME

5 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

194 FEDERATED CAPITAL APPRECIATION 

FUND II STEPHEN LOWEY

195 FEDERATED MID CAP GROWTH 

STRATEGIES FUND STEPHEN LOWEY

196 FEDERATED MID CAP GROWTH 

STRATEGIES FUND II STEPHEN LOWEY

197 FEDERATED CAPITAL APPRECIATION 

FUND STEPHEN LOWEY

198 FEDERATED INTERMEDIATE 

CORPORATE BOND FUND, STEPHEN LOWEY

199 FEDERATED QUALITY BOND FUND II STEPHEN LOWEY

200 ALEXANDRA H BALLARD & R 

BRINCKERHOFF

LOWERY, AS TTEES OF THE 

ALEXANDRA

201 DYLAN H HIXON, AS TTEES OF THE 

ALEXANDRA TRUST UNDER THE ICH LEX TRUST

202 DYLAN H HIXON, AS TTEE OF THE 

ALEXANDRA TRUST UNDER THE JMH LEX TRUST

203 DYLAN H HIXON, AS TTEE OF THE 

ALEXANDRA

TRUST OF THE DYLAN TRUST UNDER 

THE

204 DYLAN H HIXON, AS TTEE OF THE 

DYLAN TRUST UNDER THE JMH LEX TRUST

205 DYLAN H HIXON, AS TTEE OF THE INDIA TRUST UNDER THE ICH LEX TRUST

206 DYLAN H HIXON, AS TTEE OF THE INDIA TRUST UNDER THE JMH LEX TRUST

207 DYLAN H HIXON, AS TTEE OF THE 

SHANTI TRUST UNDER THE ICH LEX TRUST

208 DYLAN H HIXON, AS TTEE OF THE 

SHANTI TRUST UNDER THE JMH LEX TRUST

209 ANDREW R HIXON, AS TTEE OF THE ICH ANDO TRUST

210 ANDREW R HIXON, AS TTEE OF THE 

JMH ANDO TRUST

211 ANDREW R & MICHELE M HIXON AS 

TTEES

OF THE ANDREW & MICHELE HIXON 

2002 TRUST

212 DEBRA P GEIGER, AS TTEE OF THE DEBRA P GEIGER LIVING TRUST

213 DEVON GEIGER NIELSEN, AS TTEE OF 

THE DEVON GEIGER NIELSEN LIVING TRUST

214 DYLAN H HIXON & R BRINKERHOFF 

LOWERY

AS TTEES OF THE DYLAN HIXON 1999 

TRUST

215 FRANK HIXON FOSTER AS TTEE OF 

THE FRANK HIXON FOSTER 1999 TRUST

216 BETSY HUNTER GEIGER AS TTEE OF 

THE FRANK P HIXON TRUST FBO

217 INDIA T RADFAR & R BRINKERHOFF 

LOWERY

AS TTEE OF THE INDIA T RADFAR 

TRUST

218 WILLIAM DODD GEIGER II AS TTEE OF 

THE

WILLIAM DODD GEIGER II 1989 REV 

TRUST

219 BARBARA HUNTER FOSTER AS TTEE 

OF THE FOSTER FAMILY TRUST A

6 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

220 PAULINE H TURPIN, AS TTEE OF THE 

FRANK P HIXON TRUST FBO PAULINE H TURPIN

221 PAULINE H TURPIN, AS TTEE OF THE

ELIZABETH HIXON HUNTER TRUST FBO 

PAULINE

222 GEORGE B TURPIN AS TTEE OF THE 

GEORGE B & PAULINE H TURPIN TRUST

223 PAUL H TURPIN, AS TTEE OF THE 

TURPIN

FAMILY TRUST 1992 REVOCABLE TRUST 

DTD

224 GEORBE B TURPIN, JR, AS TTEE OF 

THE

GEORGE B TURPIN, JR LIVING TRUST 

DTD

225 BETSY HUNTER GEIGER AS TTEE OF 

THE GEIGER FAMILY REVOCABLE TRUST

226 BARBARA HUNTER FOSTER AS TTEE 

OF THE ELIZABETH H HUNTER TRUST FBO

227 BARBARA HUNTER FOSTER AS TTEE 

OF THE

FRANK P HIXON TRUST FBO BARBARA 

HUNTER

228 ADELAIDE E FOSTER MORGENSTERN JACOBS & BLUE LLC

229 E GAGE FOSTER WOODARD MORGENSTERN JACOBS & BLUE LLC

230 HUGH K FOSTER JR MORGENSTERN JACOBS & BLUE LLC

231 JENNIFER BFF WALTON MORGENSTERN JACOBS & BLUE LLC

232 ANDREW R HIXON AS TTEE OF THE ANDREW R HIXON TRUST

233 SHANTI HIXON AS TTEE OF THE SHANTI HIXON REVOCABLE TRUST

234 TRUST UNDER THE WILL OF IRENE C 

HIXON FOR ALEXANDER P HIXON

235 ICH POWER OF APPOINTMENT TRUST MORGERNSTERN JACOBS & BLUE LLC

236 TRUST UNDER THE WILL OF JOSEPH M 

HIXON FOR ALEXANDER P HIXON

237 JMH POWER OF APPOINTMENT TRUST MORGERNSTERN JACOBS & BLUE LLC

238 FC HIXON RES TRUST FBO FOSTER 

CHILDREN MORGENSTERN JACOBS & BLUE LLC

239 ELIZABETH HIXON HUNTER POWER OF APPOINTMENT TRUST #1 FBO

240 ELIZABETH HIXON HUNTER POWER OF

APPOINTMENT TRUST #1 FBO ADELADIE 

E

241 ELIZABETH HIXON HUNTER POWER OF

APPOINTMENT TRUST #1 FBO 

ELIZABETH

242 ELIZABETH HIXON HUNTER POWER OF APPOINTMENT TRUST #1 FBO HUGH K

243 ELIZABETH HIXON HUNTER POWER OF

APPOINTMENT TRUST #1 FBO JENNIFER 

B

244 GREGORY A ANDERSON

245 RICHARD L MOORE

246 NUVEEN LARGE-CAP VALUE FUND ATTN: LARRY W MARTIN

247 EQUITEC GROUP, LLC ROBBINS UMEDA & FINK, LLP

248 THE GABRIELA M HESS TRUST UTA 

11.30.94 MARK MILANI TRUSTEE

7 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

249 THE LITVACK-CURTIS CHILDRENS 

TRUST ROBERT HARABEDIAN TR

250 THE VERENA K HESS TRUST UTA 

11.30.94 MARK MILANI TRUSTEE

251 KAREN G KRASNEY

C/O LAW OFFICES OF KAREN G 

KRASNEY

252 FRANK LITVACK

253 PUBLIC EMPLOYEES RETIREMENT 

ASSOCIATION OF COLORADO

254 NEIL EIGLER

255 STATE TREAS OF THE STATE OF MI AS 

CUST

OF MI PUB SCH EMPL RET SYS, STATE 

EMPL

256 CHERYL S HARPER CGM IRA CUSTODIAN

257 DOROTHY FETTERLY

258 BLACKROCK GLOBAL TECHNOLOGY 

FUND, INC AS SUCCESSOR IN INTEREST TO

259 BLACKROCK LARGE CAP VALUE FUND 

AS SUCC BLACKROCK LARGE CAP VALUE EQ

260 MRS KATHRYN S OCONNOR

261 MYLES R & JANET SMELTZ

262 RICHARD A CLEMENS & HOLLY S 

CLEMENS FAMILY TRUST DTD 9.3.02 ('TRUST')

263 FEDERATED AMERICAN LEADERS 

FUND INC STEPHEN LOWEY

264 ALICE COOPER

265 ALICE COOPER DECLARATION OF TR ALICE COOPER TTEE DTD 11/15/99

266 FEDERATED BOND FUND STEPHEN LOWEY

267 BETSY HUNTER GEIGER AS TTEE OF 

THE ELIZABETH H HUNTER TRUST FBO

268 BRIER ALLEBRAND AS TTEE OF THE 

ALLEBRAND LIVING TRUST DTD 4.30.993

269 ANNETTE ROME

270 NUVEEN RITTENHOUSE GROWTH FD ATTN: LARRY W MARTIN

271 EDWIN G KREBS IRA

272 JOSEPHINE DEWAR

273 FEDERATED LARGE CAP GROWTH 

FUND STEPHEN LOWEY

274 NUVEEN BALANCED STOCK AND BOND 

FUND ATTN: LARRY W MARTIN

275 NUVEEN BALANCED MUNICIPAL AND 

STOCK FUND ATTN: LARRY W MARTIN

276 TEACHER RETIREMENT SYSTEM OF 

TEXAS

277 FRED ALGER MANAGEMENT, INC.

8 of 10 12/19/2007

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Timely 

Exclusion 

Number Name or Title Name or Title

278

CASTLEROCK MANAGEMENT ON 

BEHALF OF:

CASTLEROCK FUND LTD

CASTLEROCK PARTNERS LP

CASTLEROCK PARTNERS II LP

CASTLEROCK MANAGEMENT 

PERSONAL ACCTS

279

ATTICUS CAPITAL LP ON BEHALF OF:

ATTICUS GLOBAL ADVISORS LTD.

ATTICUS INTERNATIONAL FUND LTD

HALF MOON CAPITAL PARTNERS LP

DRED LTD

NATIONAL BANK OF CANADA

280

OMEGA ADVISORS INC. ON BEHALF OF:

OMEGA CAPITAL PARTNERS LP

OMEGA OVERSEAS PARTNERS INC.

OMEGA CAPITAL INVESTERS LP

OMEGA EQUITY INVESTORS LP

OMEGA EQUITY OVERSEAS

OMEGA INSTITUTIONAL PARTNERS

OMEGA INTERNATIONAL PARTNERS II 

LP

BETA EQUITIES

GOLDMAN SACHS PROFIT SHARING

MINISTERS AND MISSIONARIES

PARMAL LGC

281 LEON G COOPERMAN

282 TOBY COOPERMAN

283 MICHAEL SCOTT COOPERMAN

284 COMMONFUND GROUP

285 MUNDER CAPITAL ON BEHALF OF

MUNDER CAPITAL LARGE CAP VALUE 

FUND

286 WATCHUNG ROAD ASSOCIATES L.P.

287 EDITH ADELINE COLE

288 IRVING ASTMANN

9 of 10 12/19/2007

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 (EXHIBIT A CONTINUED)

Untimely 

Exclusion 

Number Name or Title Name or Title

1 GLENN S TRUEHART & EVELYN TRUEHART

2 MAYNARD STELZER & VIVIAN STELZER JTWROS

3 KENNETH R MORGAN

4 RONALD H STENZLER

5 IMOGENE GREGORY TTEE OF THE IMOGENE KESKEY TRUST

6 PATSY A PASCHAL TOD DTD 8/31/03

7 MAX BROSE

8

PARKERSBURG NEUROLOGICAL 

ASSOCIATES, INC PROFIT-SHARING PLAN U/A 10/1/81

Tyco International, Ltd. Securities Litigation Settlement 

10 of 10 12/19/2007

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