Class Definitions
The first settlement is for $90,000,000 in cash and resolved all claims against certain of Lehman Brothers’ former officers and directors and certain related entities (the “D&O Settlement”). You may be a member of the D&O Class and you may be eligible to share in this settlement if you:
(1) purchased or acquired certain Lehman securities identified in Appendix A at pp. 9-10 of the Notice of Pendency of Class Action and Proposed Settlement with the Director and Officer Defendants, Settlement Fairness Hearing and Motion for Attorneys’ Fees and Reimbursement of Litigation Expenses (the “D&O Notice”) pursuant or traceable to the Shelf Registration Statement and were damaged thereby, or (2) purchased or acquired any Lehman Structured Notes identified in Appendix B at pp. 11-13 of the D&O Notice pursuant or traceable to the Shelf Registration Statement and were damaged thereby, or (3) purchased or acquired Lehman common stock, call options, and/or sold put options between June 12, 2007 and September 15, 2008, through and inclusive, and were damaged thereby. Certain persons and entities who fall within this description are excluded from the Class by definition as set forth in the D&O Notice.
The second settlement is for $426,218,000 in cash and resolved all claims against certain entities that were underwriters of certain Lehman offerings (the “Underwriter Settlement”). You may be a member of the Underwriter Class and you may be eligible to share in this settlement if you:
purchased or acquired certain Lehman securities identified in Appendix A at p. 11 of the Notice of Pendency of Class Action and Proposed Settlement with the Settling Underwriter Defendants, Settlement Fairness Hearing and Motion for Attorneys’ Fees and Reimbursement of Litigation Expenses (the “Underwriter Notice”) pursuant or traceable to the Shelf Registration Statement and Offering Materials incorporated by reference in the Shelf Registration Statement and were damaged thereby (the “Underwriter Class”). Certain persons and entities who fall within this description are excluded from the Class by definition as set forth in the Underwriter Notice.