TD Bank Canadian Shareholder Settlement

TD Bank Canadian Shareholder Settlement

Province of Québec / District of Montréal No. 500-06-000914-180

CLAIM FORM

I. GENERAL INSTRUCTIONS – PLEASE READ CAREFULLY

  1. This Claim Form is directed to all persons and entities who purchased Securities of the Toronto-Dominion Bank on or after December 3, 2015 and held all or some of those securities until after the close of trading on March 9, 2017.
  2. If you are NOT a member of the Class, as defined below, PLEASE DO NOT submit a Claim Form.
  3. To make a claim for compensation from the Settlement in the above-noted action, you must complete the Claim Form. If you fail to file a Claim Form, your claim may be rejected and you may be precluded from any recovery from the Settlement Amount created in connection with the Settlement.
  4. A separate Claim Form must be filed for each account in which Securities were held.
  5. Only your Securities acquired during the Class Period are eligible to potentially recover under the Settlement.
  6. Submission of a Claim Form does not assure that you will share in the Compensation Fund.
  7. For questions about this Claim Form, or if you require assistance, please contact the Administrator, RicePoint Administration Inc., at 1-888-352-1387 or tdbankcanadianshareholder@ricepoint.com.

II. KEY DEFINITIONS

  1. “Action” means MAJESTIC ASSET MANAGEMENT LLC v. THE TORONTO-DOMINION BANK brought in the Province of Québec District of Montréal under Court File No. 500-06-000914-180.
  2. “Class Period” means the period from December 3, 2015 up to and including March 9, 2017.
  3. “Defendant” means The Toronto-Dominion TD Bank.
  4. “Excluded Persons” means TD Bank and its directors, officers, subsidiaries and affiliates.

III. CLAIMANT IDENTIFICATION

  1. Use Part I of this form entitled "Claimant Identification" to identify each purchaser of the Securities that are the subject of this claim. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL OWNER(S) OR THE LEGAL REPRESENTATIVE OF SUCH PURCHASERS.

IV. CLAIM FORM

  1. Claim Forms must be submitted to the Administrator (see contact details on the first page of these instructions).
  2. A separate Claim Form must be filed for each account in which TD Bank, Securities were held.
  3. A Claimant must provide all of the requested information with respect to all of his, her or its:
    1. TD Bank common shares held December 2, 2015;
    2. TD Bank common shares acquired between December 3, 2015 up to and including March 9, 2017;
    3. TD Bank common shares sold/disposed of during the period from December 3, 2015 up to and including March 9, 2017; and
    4. Number of TD Bank common shares held at the close of trading on March 9, 2017.
    Failure to report all required details may result in the rejection of a claimant's claim.
  4. Please list each transaction in the Class Period separately and in chronological order, by trade date (not settlement date), beginning with the earliest. Claimants must accurately provide the month, day and year of each transaction listed.
  5. Trade confirmations, broker statements or suitable alternative documentation evidencing a claimant's transactions in Securities must be submitted with the Claim Form. Failure to submit supporting documentation acceptable to the Administrator may result in the rejection of your claim.
  6. The information required by the Administrator is the minimum amount of information necessary to process the claims. The Administrator may request additional information as required to efficiently and reliably calculate claimants' losses. In some cases, where the Administrator cannot perform compensation calculations accurately or at a reasonable cost to the Class with the information provided by a claimant, the Administrator may conditionally accept the claim pending receipt of additional information.

PART I. CLAIMANT IDENTIFICATION

PART II. SCHEDULE OF TRANSACTIONS IN TD BANK CANADIAN SHAREHOLDER SETTLEMENT

Traded in Canadian Dollars (CAD)

This Claim Form is directed to all persons and entities, other than Excluded Persons wherever they may reside or be domiciled, who during the Class Period (December 3, 2015 to March 9, 2017) acquired TD Securities on the secondary market other than a United States exchange, and held some or all of those Securities until the close of trading on March 9, 2017 (or thereafter).

A. TD Bank common shares held December 2, 2015:

Proof Uploaded?
    Y     N

B. TD Bank common shares acquired between December 3, 2015 and March 9, 2017:

Trade Date(s) of Shares
(List Chronologically)
Number of Shares
Purchased or Acquired
Total Purchase or Acquisition Price
(Including Commissions).
Please round off to the nearest whole dollar
Proof of Purchase Uploaded?
$ .00
Y    N

C. TD Bank common shares sold/disposed of during the period from December 3, 2015 to March 9, 2017

Trade Date(s) of Shares
(List Chronologically)
Number of Shares
Sold
Total Sales Price
(Excluding Commissions).
Please round off to the nearest whole dollar
Proof of Sales Uploaded?
$ .00
Y    N

D. TD Bank common shares held at March 9, 2017.

Proof Uploaded?
    Y     N

PART IV. UPLOAD PROOF OF TRANSACTIONS

Click the "Browse" or "Choose File" button and select the relevant file from your computer. The selected files will be uploaded when the "Agree and Submit" button is clicked.

Required documentation may be uploaded in .pdf format only. You may upload up to 10 files. A single file cannot be larger than 5 MB.

If you are unable to provide your supporting documentation electronically, or if you experience any issues with the document upload, you will be provided with a transmittal letter once your claim submission is confirmed. Please print out the transmittal letter and send it to the Fund Administrator with the required documentation.

PART V. DECLARATION

  1. I (we) declare that the information on this Claim Form is true, correct and complete to the best of my (our) knowledge, information and belief.
  2. I (we) declare that I (we) have disclosed all of my (our) holdings and purchase and sales transactions in Shares for the time periods required by this Claim Form.
  3. I (we) also declare that I (we) am (are) not an Excluded Person(s) as defined in the General Instructions.
  4. I (we) acknowledge and agree that the Claims Administrator may disclose all information relating to my (our) claim to the Courts and counsel to the parties in the Actions, as may be necessary.
Y    N
Y    N

Required

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