CLAIMANT INFORMATION/CLAIMANT'S STATEMENT
1. I (we) purchased Horsehead securities during the Class Period. (Do not submit this Proof of Claim and Release Form if you did not purchase Horsehead securities during the Class Period.) The Horsehead securities included in this Settlement are common stock and the following Notes: AB3, AC1, AE7, AF4, and AG2.
2. By submitting this Proof of Claim and Release Form, I (we) state that I (we) believe in good faith that I am a (we are) Class Member(s) as defined above and in the Notice of Pendency and Proposed Settlement of Class Action (the “Notice”), or am (are) acting for such person(s); that I am (we are) not a Defendant in the Action or anyone excluded from the Settlement 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, as defined in the Notice; 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. (If you are acting in a representative capacity on behalf of a Class Member [e.g., as an executor, administrator, trustee, or other representative], 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.)
3. I (we) consent to the jurisdiction of the Court with respect to all questions concerning the validity of this Proof of Claim and Release Form. 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(s) 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 Proof of Claim and Release Form.
4. I (we) have set forth where requested below all relevant information with respect to each purchase of Horsehead securities, and each sale, if any, of such Horsehead securities. I (we) agree to furnish additional information to the Claims Administrator to support this claim if requested to do so.
5. I (we) have enclosed photocopies of the stockbroker’s confirmation slips, stockbroker’s statements, or other documents evidencing each purchase and sale of Horsehead securities listed below in support of my (our) claim. (IF ANY SUCH DOCUMENTS ARE NOT IN YOUR POSSESSION, PLEASE OBTAIN A COPY OR EQUIVALENT DOCUMENTS FROM YOUR BROKER OR TAX ADVISOR BECAUSE THESE DOCUMENTS ARE NECESSARY TO PROVE AND PROCESS YOUR CLAIM.)
6. I (we) understand that the information contained in this Proof of Claim and Release Form 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. (The information requested herein is designed to provide the minimum amount of information necessary to process most simple claims. The Claims Administrator may request additional information as required to efficiently and reliably calculate your recognized loss. 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 securities such as options.)
7. Upon the occurrence of the Court’s approval of the Settlement, as detailed in the Notice, I (we) acknowledge that I (we) and my (our) predecessors, successors, agents, representatives, attorneys, and affiliates in their capacities as such, and my (our) heirs, executors, administrators, and assigns in their capacities as such (or, if I am (we are) submitting this Proof of Claim and Release Form on behalf of a corporation, a partnership, estate or one or more other persons, it, he, she or they, and its, his, her or their predecessors, successors, agents, representatives, attorneys, and affiliates in their capacities as such, and its, his, her or their heirs, executors, administrators, and assigns in their capacities as such), shall be deemed to have, and by operation of law and of the judgment shall have, fully, finally, and forever released, relinquished, and discharged each and every Released Claim against the Released Persons, and shall forever be permanently barred and enjoined from the commencement, institution, prosecution, or continuation of any or all of the Released Claims against any of the Released Persons.
8. Upon the occurrence of the Court’s approval of the Settlement, as detailed in the Notice, I (we) agree and acknowledge that my (our) signature(s) hereto shall effect and constitute a covenant by me (us) and my (our) predecessors, successors, agents, representatives, attorneys, and affiliates, and my (our) heirs, executors, administrators, and assigns in their capacities as such (or, if I am (we are) submitting this Proof of Claim and Release Form on behalf of a corporation, a partnership, estate or one or more other persons, it, he, she or they, and its, his, her or their predecessors, successors, agents, representatives, attorneys, and affiliates, and its, his, her or their heirs, executors, administrators, and assigns, in their capacities as such), to permanently refrain from commencing, instituting, prosecuting, or continuing any or all of the Released Claims against any of the Released Persons.
9. “Action” has the meaning laid out in the Settlement Stipulation.
10. “Court” has the meaning laid out in the Settlement Stipulation.
11. “Defendants” has the meaning laid out in the Settlement Stipulation.
12. “Released Claims” has the meaning laid out in the Settlement Stipulation.
13. “Released Persons” has the meaning laid out in the Settlement Stipulation.
14. “Settlement Stipulation” means the Stipulation and Agreement of Settlement in this Action.
15. “Unknown Claims” has the meaning laid out in the Settlement Stipulation.
16. I (We) acknowledge that the inclusion of Unknown Claims in the definition of Released Claims in the Settlement Stipulation was separately bargained for and is a material element of the Settlement of which this release is a part.
17. NOTICE REGARDING ELECTRONIC FILES: Certain claimants with large numbers of transactions may request, or may be requested, to submit information regarding their transactions in electronic files. All claimants MUST submit a manually signed paper Proof of Claim and Release Form listing all their transactions, whether or not they also submit electronic copies. If you wish to file your claim electronically, you must contact the Claims Administrator at efile@strategicclaims.net or visit their website at www.horseheadlitigation.com to obtain the required file layout. No electronic files will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data.