Williams, et al. v. JPMorgan Chase Bank, N.A., et al. Allwaste, Inc. Debentureholder Settlement c/o Rust Consulting, Inc. P.O. Box 2248 Faribault, MN 55021-1648 Telephone: 1-877-773-8184 Dear Investor: Attached is the Proof of Claim Form relating the settlement in the lawsuit of Williams et al. v. JPMorgan Chase Bank, N.A., Case No. 0516-CV23650 in the Circuit Court of Jackson County, Missouri, which involves 7¼% Convertible Subordinated Debentures issued by Allwaste, Inc. pursuant to an Indenture dated June 1, 1989, CUSIP No. 020047AA 4 (the Allwaste Debentures ). If you are a member of the class (as defined in the settlement notice), you must submit a valid, timely Proof of Claim Form to be eligible to receive a share of the settlement fund. You must complete and submit the Proof of Claim Form, with supporting documentation, POSTMARKED ON OR BEFORE SEPTEMBER 10, 2012. If you are a member of the class and you do not submit a timely, valid request to be excluded (as explained in the settlement notice), you will be bound by the terms and conditions of the settlement and all applicable orders and judgments entered by the Court, WHETHER OR NOT YOU SUBMIT A PROOF OF CLAIM FORM. If you are NOT a member of the class (either because you do not meet the class definition or because you have excluded yourself), DO NOT submit a Proof of Claim Form. You are NOT eligible to participate in the settlement or receive a distribution from the settlement fund. GENERAL INSTRUCTIONS 1. Separate Proof of Claims Forms must be filed for each differently named account or ownership (e.g., individual account, IRA account, joint account, etc.). However, joint tenants, co-owners or UGMA custodians for a given account should file a single Proof of Claim Form. 2. If you held Allwaste Debentures in your own name, you are the beneficial purchaser or acquirer as well as the record purchaser or acquirer of the securities. If, however, you purchased or otherwise acquired Allwaste Debentures through a third party, such as a nominee or brokerage firm, and the Allwaste Debentures were registered in the name of that third party, you are the beneficial purchaser or acquirer of the securities, but the third party is the record purchaser or acquirer of the securities. 3. Complete Step 1 of the Proof of Claim Form to identify each beneficial owner of Allwaste Debentures that is submitting a claim. THIS CLAIM MUST BE SUBMITTED BY THE ACTUAL BENEFICIAL OWNER OF ALLWASTE DEBENTURES ON WHICH THE CLAIM IS BASED, OR THE AUTHORIZED LEGAL REPRESENTATIVE OF SUCH BENEFICIAL OWNER. 4. Complete Step 2 of the Proof of Claim Form to supply all required details of your ownership of and transactions in Allwaste Debentures. If you need more space or additional schedules, attach separate sheets giving all of the required information in substantially the same form. Sign and print or type your name on each additional sheet. In Step 2, provide all of the requested information with respect to: (a) your holdings of Allwaste Debentures as of the close of trading on July 29, 1997; (b) all of your transactions in Allwaste Debentures that took place at any time beginning July 30, 1997 through and including June 25, 1999, whether such purchases, acquisitions, sales or other transactions resulted in a profit or a loss to you; and (c) your holdings of Allwaste Debentures as of the close of trading on June 25, 1999. Failure to report all such holdings and transactions may result in rejection of your claim.
List each purchase, acquisition, sale or other transaction of Allwaste Debentures reported in Step 2 separately and in chronological order by trade date, beginning with the earliest. You must accurately provide the month, day and year of each such transaction you list. Use the contract or trade date, as distinguished from the settlement date, for each transaction. 5. Complete Step 3 to properly document all holdings and transactions reported in Step 2. Copies of broker confirmations, monthly account statements or other documentation of your purchases, acquisitions, sales or other transactions in Allwaste Debentures must be attached to your Proof of Claim Form. DO NOT SEND ORIGINALS. Failure to provide this documentation could delay verification of your claim or result in rejection of your claim. The parties to the lawsuit and the settlement administrator do not independently have information about your investments in Allwaste Debentures you are solely responsible for submitting all necessary information and documentation to support your claim. The settlement administrator may also request additional information from you as needed to efficiently and reliably process your claim and calculate your losses. 6. Complete Step 5 to certify your claim. The Proof of Claim Form must be signed by the person or entity submitting the Form, whether that person or entity is the beneficial owner, the joint beneficial owner, or the legal representative of the beneficial owner(s). All other requested information must also be provided. Failure to provide the requested information could delay verification of your claim or result in rejection of your claim. Reminder Checklist: ACCURATE CLAIMS PROCESSING TAKES A SIGNIFICANT AMOUNT OF TIME. PLEASE BE PATIENT. Provide all requested information in Step 1 concerning the identification of claimant Provide all requested information in Step 2 concerning holdings and transactions Attach supporting documentation (but not originals) Sign your Proof of Claim Form Make a copy of your completed Proof of Claim Form for your records Mail your completed Proof of Claim Form to the settlement administrator at: Allwaste Debentures Settlement c/o Rust Consulting, Inc. P.O. Box 2248 Faribault, MN 55021-1648 REMEMBER: YOUR PROOF OF CLAIM FORM MUST BE POSTMARKED ON OR BEFORE SEPTEMBER 10, 2012
POSTMARKED ON OR BEFORE SEPTEMBER 10, 2012 *0123456789* Allwaste, Inc. Debentures Settlement PROOF OF CLAIM Use Blue or Black Ink Only For Official Use Only Page 1 of 4 PROOF OF CLAIM FORM To receive a distribution from the settlement fund created as a result of the settlement in the lawsuit of Williams, et al. v. JPMorgan Chase Bank, N.A., et al., Case No. 0516 CV23650 in the Circuit Court of Jackson County, Missouri, you must be a member of the class (as defined in the settlement notice) and you must submit a valid, timely Proof of Claim Form to the settlement administrator at the address below, postmarked on or before SEPTEMBER 10, 2012. If you fail to submit a complete Proof of Claim Form, including all requested information and all necessary documentation, your claim may be rejected and you may be precluded from receiving any recovery from the settlement fund. STEP 1. CLAIMANT IDENTIFICATION - Complete either Section A or B and then proceed to C. Please type or print. A. Complete this Section ONLY if the Beneficial Owner is an individual, joint, or IRA account. Otherwise, proceed to B. Last Name (Beneficial Owner) First Name (Beneficial Owner) 01 Last Name (Joint Beneficial Owner, if applicable) First Name (Joint Beneficial Owner) Name of IRA Custodian, if applicable If this account is an IRA, and if you would like any check that you MAY be eligible to receive made payable to the IRA account, please include IRA in the Last Name box above (e.g., Jones IRA). B. Complete this Section ONLY if the Beneficial Owner is an Entity; i.e., corporation, trust, estate, etc. Then, proceed to C. Entity Name Name of Representative, if applicable (Executor, administrator, trustee, c/o, etc.) C. Account/Mailing Information: Specify one of the following: Individual(s) Corporation UGMA Custodian IRA Partnership Estate Trust Other: Number and Street or P.O. Box City State Zip Code Foreign Province and Postal Code Foreign Country Telephone Number (Day) Telephone Number (Evening) E-mail Address Account Number Enter Taxpayer Identification Number below for the Beneficial Owner(s). Social Security No. (for individuals) or Taxpayer Identification No. *8214* *CFW* *RUST*
STEP 2. OWNERSHIP OF AND TRANSACTIONS IN ALLWASTE DEBENTURES HOLDINGS ON JULY 29, 1997 A. Principal amount (face value) of Allwaste Debentures owned at the close of trading on July 29, 1997. (If none, write zero or 0 ; if other than zero, must be documented) (i.e., Face Value or Par Value) PURCHASES FROM JULY 30, 1997 TO JUNE 25, 1999 B. List each separate purchase of Allwaste Debentures from July 30, 1997 through June 25, 1999, inclusive, as follows: (a) the trade date; (b) the principal amount (face value) of the transaction; (c) the purchase price; and (d) the total amount paid (excluding commissions, taxes and fees). Date(s) of Purchase (list chronologically) Month/Day/Year (i.e., Face Value or Par Value) Purchase Price Per Debenture Amount Paid (excluding commissions, taxes and fees) SALES FROM JULY 30, 1997 TO JUNE 25, 1999 C. List each separate sale of Allwaste Debentures from July 30, 1997 through June 25, 1999, inclusive, as follows: (a) the trade date; (b) the principal amount (face value) of the transaction; (c) the sale price; and (d) the total amount received (excluding commissions, taxes and fees). Check the appropriate box below if the Debentures were Sold (S); Redeemed to Philip (R); or Converted to Philip Stock (CV). Date(s) of Sale (list chronologically) Month/Day/Year (i.e., Face Value or Par Value) Sale Price Per Debenture Amount Received (excluding commissions, taxes and fees) Check the Appropriate Box (S) (R) (CV) HOLDINGS ON JUNE 25, 1999 D. Principal amount (face value) of Allwaste Debentures owned at the close of trading on June 25, 1999. (If none, write zero or 0 ; if other than zero, must be documented) (i.e., Face Value or Par Value) Page 2 of 4
STEP 3. SUPPORTING DOCUMENTATION You must submit documentation for your trading history. Acceptable documentation may include: (a) monthly brokerage or other investment account statements; (b) trade confirmation slips; (c) a signed letter from your broker on firm letterhead verifying the information you are providing; (d) a deposit or escrow receipt showing your holdings; or (e) other equivalent proof of your transactions. DO NOT SEND ORIGINALS. If you have questions, please contact the settlement administrator, Rust Consulting, Inc. STEP 4. SUBMISSION TO JURISDICTION OF COURT AND ACKNOWLEDGMENTS I (We) submit this Proof of Claim Form under the terms of the approved plan of allocation of the net settlement fund. I (We) also submit to the jurisdiction of the Circuit Court of Jackson County, Missouri at Independence (the Court ), with respect to my (our) claim as a class member. I (We) further acknowledge that I (we) will be bound by any judgment entered in connection with the settlement of this case and by the terms of the Stipulation of Settlement, including the releases set forth therein. I (We) agree to furnish additional information to the Settlement Administrator to support this claim, such as additional documentation for transactions in Allwaste Debentures, or additional transactions in other Allwaste Debentures, if required to do so. I (We) have not submitted any other claim covering the same purchases, acquisitions or sales of Allwaste Debentures during the Class Period and know of no other person having done so on my (our) behalf. STEP 5. CERTIFICATION Enter Taxpayer Identification Number ( TIN ) on the appropriate line. For individuals, this is your Social Security Number ( SSN ). However, for a resident alien, sole proprietor, or disregarded entity, see Part I of W-9 instructions. For sole proprietors, you must show your individual name, but you may also enter your business or doing business as name. You may enter either your SSN or your Employer Identification Number ( EIN ). For other entities, it is your EIN. Social Security No. (for individuals) or Employer Identification Number If you are exempt from backup withholding, enter your current TIN above and write exempt on the following line: UNDER THE PENALTY OF PERJURY, I (WE) CERTIFY THAT: 1. The number shown on this form is my current TIN; and 2. 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 because: (a) I am (we are) exempt from backup withholding; or (b) I (we) have not been notified by the Internal Revenue Service that I am (we are) subject to backup withholding as a result of a failure to report all interest or dividends; or (c) the Internal Revenue Service has notified me (us) that I am (we are) no longer subject to backup withholding. NOTE: If you have been notified by the Internal Revenue Service that you are subject to backup withholding, please strike out the language that you are not subject to backup withholding in the certification above. The Internal Revenue Service does not require your consent to any provision other than the certification required to avoid backup withholding. Page 3 of 4
I (We) declare under penalty of perjury under the laws of the United States of America that all of the foregoing information supplied on this Proof of Claim Form by the undersigned is true and correct. Executed this day of, 20 in,. (City) (State/Country) Signature of Claimant (Type or print name of Claimant) Signature of Joint Claimant, if any (Type or print name of Joint Claimant, if any) Signature of person filing on behalf of Claimant (Type or print name of person filing on behalf of Claimant) Capacity of person filing on behalf of Claimant, if other than an individual (e.g., Administrator, Executor, Trustee, President, Custodian, Power of Attorney, etc.) Submit your Proof of Claim and the required documentation POSTMARKED ON OR BEFORE SEPTEMBER 10, 2012 to: Allwaste Debentures Settlement c/o Rust Consulting, Inc. P.O. Box 2248 Faribault, MN 55021-1648 Page 4 of 4