PROOF OF CLAIM AND RELEASE

Transcription

1 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK In re ALLIED IRISH BANKS, PLC SECURITIES LITIGATION THIS DOCUMENT RELATES TO ALL ACTIONS Master File No. 02 Civ (DAB) PROOF OF CLAIM AND RELEASE DEADLINE FOR SUBMISSION: AUGUST 17, 2006 IF YOU PURCHASED OR OTHERWISE ACQUIRED THE AMERICAN DEPOSITARY SHARES OF ALLIED IRISH BANKS, P.L.C. ( AIB ADSs ) (ALSO KNOWN AS AMER- ICAN DEPOSITARY RECEIPTS, OR ADRs) DURING THE PERIOD FROM FEBRUARY 6, 1999 AND FEBRUARY 6, 2002, INCLUSIVE ( CLASS PERIOD ), AND WERE DAM- AGED THEREBY, YOU ARE A CLASS MEMBER AND YOU MAY BE ENTITLED TO SHARE IN THE SETTLEMENT PROCEEDS. (EXCLUDED FROM THE CLASS ARE THE DEFENDANTS, THE PRESENT AND FORMER OFFICERS AND DIRECTORS OF ALLIED IRISH BANKS, PLC ( AIB ), ALLFIRST FINANCIAL INC. AND ALLFIRST BANK, MEMBERS OF THEIR IMMEDIATE FAMILIES AND THEIR LEGAL REPRE- SENTATIVES, HEIRS, SUCCESSORS OR ASSIGNS AND ANY ENTITY IN WHICH DEFENDANTS OR THEIR SUCCESSORS HAVE OR HAD A CONTROLLING INTEREST.) IF YOU ARE A MEMBER OF THE CLASS, YOU MUST COMPLETE AND SUBMIT THIS FORM IN ORDER TO BE ELIGIBLE FOR ANY SETTLEMENT BENEFITS. YOU MUST COMPLETE AND SIGN THIS PROOF OF CLAIM AND MAIL IT BY FIRST CLASS MAIL, POSTMARKED NO LATER THAN AUGUST 17, 2006 TO THE CLAIMS ADMINISTRATOR AT: Allied Irish Banks, PLC Securities Litigation c/o Berdon Claims Administration, LLC P.O. Box 9014 Jericho, NY YOUR FAILURE TO SUBMIT YOUR CLAIM BY AUGUST 17, 2006 MAY SUBJECT YOUR CLAIM TO REJECTION AND PRECLUDE YOUR RECEIVING ANY MONEY IN CONNECTION WITH THE SETTLEMENT OF THIS LITIGATION. DO NOT MAIL OR DELIVER YOUR CLAIM TO THE COURT OR TO ANY OF THE PARTIES OR THEIR COUNSEL AS ANY SUCH CLAIM WILL BE DEEMED NOT TO HAVE BEEN SUBMITTED. SUBMIT YOUR CLAIM ONLY TO THE CLAIMS ADMINISTRATOR.

2 A. CLAIM FORM INSTRUCTIONS 1. If you purchased or otherwise acquired the American Depositary Shares of Allied Irish Banks, p.l.c. ( AIB ADSs ) between February 6, 1999 and February 6, 2002, inclusive ( Class Period ) and held the certificates in your name, you are the beneficial owner as well as the record owner. If, however, you purchased or acquired AIB ADSs and the certificates were registered in the name of a third party, such as a nominee or brokerage firm, you are the beneficial owner and the third party is the record owner. (Do not submit this Proof of Claim if you did not purchase or otherwise acquire AIB ADSs between February 6, 1999 and February 6, 2002, inclusive.) 2. This claim must be filed by the actual beneficial owner(s), or the legal representative of such owner(s), of the AIB ADSs upon which this claim is based. 3. All joint owners must sign this claim. Executors, administrators, guardians, conservators and trustees must complete and sign this claim on behalf of persons represented by them. If you are acting in a representative capacity on behalf of a Class Member, you must submit evidence of your current authority to act on behalf of that Class Member. Such evidence would include, for example, letters testamentary, letters of administration or a copy of the trust documents. 4. Use Section B of this form, entitled Claimant Information, to identify each beneficial owner and, if different, each record owner, of the AIB ADSs that form the basis of this claim. 5. The Social Security or Tax Identification number and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in rejection of your claim. 6. Use section C, paragraphs 1, 2, 3, 4 and 5 of this form, entitled Schedule of Transactions in AIB American Depositary Shares, to provide the details of all of your purchases, all of your sales and all of your holdings of AIB ADSs, whether such transactions resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim. If you need more space, attach separate, numbered sheets giving all of the required information in substantially the same form. Print your name and Social Security or Tax Identification number at the top of each additional sheet. 7. List each transaction separately and in accurate chronological order, by trade date, beginning with the earliest. The date of purchase, acquisition or sale is the contract or trade date, and not the settlement date. In processing claims, the first-in, first-out basis ( FIFO ) will be applied to both purchases and sales. 8. Brokerage commissions and transfer taxes paid by you in connection with your purchases and sales of AIB ADSs should be included in the Total Cost column of paragraph 2, and excluded from the Net Proceeds column of paragraph 4 of the Schedule of Transactions. 9. You must attach to your claim form copies of brokerage confirmations, monthly statements, or other documentation of your transactions in AIB ADSs in order for your claim to be valid. If such documents are not available, a complete list of acceptable supporting documentation can be found on the Claims Administrator s website: Failure to provide acceptable documentation could delay verification of your claim or result in rejection thereof. 10. If your trading activity exceeds 50 transactions, you must provide in an electronic file all the purchase, sale and holding information required in the Schedule of Transactions. For a copy of instructions and parameters concerning such a submission, contact the Claims Administrator by phone at (800) ; by fax at (516) ; or via the website at 2

3 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK AIB In re Allied Irish Banks, PLC Securities Litigation Must be received by Claims Administrator postmarked no later than August 17, 2006 B. CLAIMANT IDENTIFICATION Please Type or Print Beneficial Owner s Name (as it appears on your brokerage statement) Joint Beneficial Owner s Name (as it appears on your brokerage statement) Street Address City State Zip Code Foreign Province Foreign Country or Social Security Number Taxpayer Identification Number Specify one of the following: Individual(s) Corporation UGMA Custodian IRA Partnership Estate Trust Other: (Day) (Evening) Area Code Telephone Number Area Code Telephone Number Facsimile Number Address Record Owner s Name and Address (if different from beneficial owner listed above) 3

4 C. SCHEDULE OF TRANSACTIONS IN AIB AMERICAN DEPOSITARY SHARES 1. State the total number of AIB ADSs owned at the close of trading on February 5, 1999, long or short (must be documented). 2. Separately list each and every purchase and acquisition of AIB ADSs during the period February 6, 1999 through February 6, 2002, and provide the following information (must be documented): Trade Date Total Cost (list chronologically) Number of ADSs Purchased (including commissions, Month/Day/Year taxes and fees) NOTE: If you acquired your AIB ADSs during this period other than by an open market purchase, please provide a complete description of the terms of the acquisition. 3. State the total number of AIB ADSs acquired during the period February 7, 2002 through May 7, 2002 (must be documented): 4. Separately list each and every sale of AIB ADSs during the period February 6, 1999 through May 7, 2002, and provide the following information (must be documented): Trade Date Net Proceeds (list chronologically) Number of ADSs Sold (net of commissions, Month/Day/Year taxes and fees) 5. State the total number of AIB ADSs owned at the close of trading on May 7, 2002, long or short (must be documented). If additional space is needed, attach separate photocopied, numbered sheets, giving all required information, substantially in the same format, and print your name and Social Security or Taxpayer Identification number at the top of each sheet. YOU MUST ALSO READ AND SIGN THE RELEASE ON PAGE 6. 4

5 D. STATEMENT OF CLAIM AND RELEASE 1. By submitting this Proof of Claim, I/we state that I/we believe in good faith that I am/we are a Class Member as defined above and in the Notice of Pendency of Class Action, Proposed Settlement, Motion for Attorneys Fees and Settlement Fairness Hearing (the Notice ), or am/are acting for such person; that I am/we are not a Defendant in the Action or anyone excluded from the Class; that I/we have read and understand the Notice; that I/we believe that I am/we are entitled to receive a share of the Net Settlement Fund; that I/we elect to participate in the proposed Settlement described in the Notice; and that I/we have not filed a request for exclusion. 2. I/We consent to the jurisdiction of the Court with respect to all questions concerning the validity of this Proof of Claim. I/We understand and agree that my/our claim may be subject to investigation and discovery under the Federal Rules of Civil Procedure, provided that such investigation and discovery shall be limited to my/our status as a Class Member and the validity and amount of my/our claim. No discovery shall be allowed on the merits of the Action or Settlement in connection with processing of the Proofs of Claim. 3. I/We have set forth where requested all relevant information with respect to each purchase or other acquisition of AIB ADSs during the Class Period, and each sale, if any, of such securities. I/We agree to furnish additional information (including transactions in other Allied Irish Banks, p.l.c. securities) to the Claims Administrator to support this claim if requested to do so. I/We have enclosed photocopies of the stockbroker s confirmation slips, stockbroker s statements or other documents evidencing each purchase, acquisition, sale or retention of AIB ADSs listed in the Schedule of Transactions in support of my/our claim. 4. I/We understand that the information contained in this Proof of Claim is subject to such verification as the Claims Administrator may request or as the Court may direct, and I/we agree to cooperate in any such verification. I/We understand that the information requested herein is designed to provide the minimum amount of information necessary to process most simple claims; that the Claims Administrator may request additional information as required to efficiently and reliably calculate my/our Recognized Claim (as defined in the Notice); and that in some cases the Claims Administrator may condition acceptance of the claim based upon the production of additional information, including, where applicable, information concerning transactions in any derivatives of the subject securities. 5. Upon the occurrence of the Effective Date, my/our signature hereto will constitute a full, final and complete release, remise and discharge by me/us and my/our heirs, executors, administrators, predecessors, successors, and assigns (or, if I am/we are submitting this Proof of Claim on behalf of a corporation, a partnership, estate or one or more other persons, by it, him, her or them, and by its, his, her or their heirs, executors, administrators, predecessors, successors, and assigns) of all Settled Claims and any existing judgment against any of the Released Parties, as defined in the Notice. E. CERTIFICATIONS 1. I /We certify that I am/we are NOT subject to backup withholding under the provisions of Section 3406(a)(1)(c) of the Internal Revenue Code. NOTE: If you have been notified by the I.R.S. that you are subject to backup withholding, please strike out the word NOT in the certification above. 2. I/We further certify that: (a) I am/we are NOT a plan or plans subject to the requirements of the Employee Retirement Income Security Act of 1974, as amended ( ERISA ), or an entity or entities deemed to hold ERISA plan assets (collectively, an ERISA Plan or ERISA Plans ); or (b) Claimant is an ERISA Plan, and it has complied with the requirements for exemption from the ERISA prohibited transaction rules and penalties set forth in 26 U.S.C

6 NOTE: Please strike out the language in either (a) or (b) depending on which is not applicable to you. 3. I/We have read the foregoing Proof of Claim and certify under penalty of perjury that all of the information contained herein, and in the supporting documents attached hereto, are true, correct and complete to the best of my/our knowledge, information and belief, and that this form was executed on the day of, 2006 in, (City) (State/Country) Signature of Claimant (Print your name here) Signature of Joint Claimant, if any (Print your name here) Signature of person signing on behalf of Claimant (Print your name here) Capacity of person signing on behalf of Claimant, if other than an individual, e.g., Executor, President, Custodian, etc.) THIS PROOF OF CLAIM MUST BE SUBMITTED POSTMARKED NO LATER THAN AUGUST 17, 2006, AND MUST BE MAILED TO THE CLAIMS ADMINISTRATOR AT: Allied Irish Banks, PLC Securities Litigation c/o Berdon Claims Administration, LLC P.O. Box 9014 Jericho, NY A Proof of Claim received by the Claims Administrator shall be deemed to have been submitted when posted, if mailed by August 17, 2006, and if a postmark is indicated on the envelope, and it is mailed first class and addressed in accordance with the above instructions. In all other cases, a Proof of Claim shall be deemed to have been submitted when actually received by the Claims Administrator. You should be aware that it will take a significant amount of time to process fully all of the Proofs of Claim and to administer the Settlement. This work will be completed as promptly as time permits, given the need to investigate and tabulate each Proof of Claim. Please notify the Claims Administrator of any change of address. 6

7 REMINDER CHECKLIST 1. Please be sure to sign this Proof of Claim on page 6. If this Proof of Claim is submitted on behalf of joint claimants, then both claimants must sign. 2. Please remember to attach copies of supporting documents, a complete list of which can be found on the website below. 3. Do NOT send any stock certificates. 4. Keep copies of your completed Proof of Claim and documentation for your records. 5. Do NOT use highlighter on the Proof of Claim or any supporting documents. 6. If you desire an immediate acknowledgment of receipt of your Proof of Claim, please send it by Certified Mail, Return Receipt Requested, or its equivalent. You will bear all risks of delay or non-delivery of your claim. 7. If your address changes in the future, or if these documents were sent to an old or incorrect address, please send written notification of your new address to the Claims Administrator. 8. If you have any questions or concerns regarding your claim, please contact the Claims Administrator at: Allied Irish Banks, PLC Securities Litigation c/o Berdon Claims Administration LLC P.O. Box 9014 Jericho, NY Telephone: (800) Fax: (516) Website: NOTE: RECEIPT ACKNOWLEDGMENT NEEDED The Claims Administrator will issue an acknowledgment of receipt of your Proof of Claim, after it is received and input into its computer system. Should you desire a more immediate acknowledgment of receipt of your claim, please send it by Certified Mail, Return Receipt Requested, or its equivalent. For the acknowledgment of receipt of electronic submissions by banks, financial institutions and other nominees, please visit the Claims Administrator s website at Do not assume that your claim is submitted until you receive a written confirmation. 7