In re Herald, Primeo and Thema Funds Securities Litigation

Filing 231

FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #234) - MOTION to Approve of Partial Settlement. Document filed by Neville Seymour Davis. (Attachments: #1 Exhibit A-1, #2 Exhibit A-2, #3 Exhibit A-3, #4 Exhibit A-4, #5 Exhibit B, #6 Exhibit C, #7 Exhibit D, #8 Exhibit E, #9 Exhibit F-1)(Chang, Albert) Modified on 6/29/2011 (lb).

EXHIBIT A-3
LEGAL NOTICE

If You Owned Shares of Thema International Fund plc as of
December 10, 2008, You Could Receive a Payment from a Class
Action Settlement
TO:

All persons and entities who owned shares either of Thema International Fund plc
or its sub-fund Thema Fund (collectively, the “Fund”), either directly or
beneficially through a nominee or other representative or agent, on December 10,
2008, and suffered damages thereby due to the conduct alleged in the amended
complaint in Davis v. Benbassat et al., Case No. 09 Civ. 2558 (the “Settlement
Class”).

Notice is hereby given to you of a proposed partial settlement (the “Settlement”)
of the above-captioned class action (the “Action”) between lead plaintiff Neville Seymour Davis
(“Lead Plaintiff”), and settling defendants HSBC Holdings plc, HSBC Institutional Trust
Services (Ireland) Limited, HSBC Securities Services (Ireland) Limited and HSBC Bank USA,
N.A. (the “Settling Defendants,” collectively with the Lead Plaintiff, the “Settling Parties”). The
Settlement provides for the payment of $62.5 million for the benefit of the Settlement Class.
This notice is published by order of the District Court for the Southern District of New York (the
“Court”) in advance of the hearing scheduled for __________, 2011 to determine whether the
Settlement is fair, reasonable, and adequate and should be approved (the “Fairness Hearing”).
This is a Settlement with only some Defendants. Lead Plaintiff intends to continue to
prosecute the claims against the defendants who have not settled (“Non-Settling
Defendants”)
Inspect and/or download copies of the Settlement Related Documents and Motion Papers:
www.themasettlement.com.
This notice only summarizes important information relating to your potential
eligibility for payment under the Settlement and other legal rights. Complete details of the
Settlement can be found in the Stipulation and Agreement of Partial Settlement dated June 7,
2011, as amended and filed with the Court on June 17, 2011 (the “Stipulation”) and in the Notice
of Pendency and Partial Settlement of Class Action (the “Notice”). You can obtain copies of
these documents or more information about the Settlement by visiting the above Web site, or by
writing to Lead Plaintiff’s attorneys (the “Plaintiff’s Counsel”) or Gilardi & Co. LLC (the
“Settlement Administrator”) at the addresses set forth below.
 Certain Other Aspects of the Settlement: In addition to the payment of $62.5 million for the
benefit of the Settlement Class, and in order to facilitate further recoveries for Settlement
Class Members, the Settlement Agreement provides for the assignment by Settlement Class
Members of claims to the Lead Plaintiff so that he may better assert such claims on behalf of
and for the benefit of Settlement Class Members. Moreover, Settlement Class Members will

assign to the Settling Defendants their interest in any recovery by the Fund against the Settling
Defendants.
 Court Hearing on the Fairness of the Settlement, __________, 2011: The Court will hold a
Fairness Hearing at ___:____, a.m./p.m., on __________, 2011, at the United States District
Court for the Southern District of New York, Daniel Patrick Moynihan Courthouse, 500 Pearl
Street, New York, NY 10007-1312, Courtroom 21(B). At this Fairness Hearing, the Court
will consider whether the Settlement, the Plan of Allocation, and the application for a service
award to Lead Plaintiff (if such application is made) should be approved. Further detail is
available in the Notice.
 If you are a Settlement Class Member, in order to share in the distribution of the settlement
fund, you must submit a Proof of Claim, Release, and Assignment Form, available at the Web
site listed above, postmarked no later than __________, 2011 addressed to:
Davis v. Benbassat et al. Litigation Claim Forms
c/o Settlement Administrator
Gilardi & Co. LLC
P.O. Box 8040
San Rafael, CA 94912-8040
 If you desire to be excluded from the Settlement Class, you must submit a request for
exclusion postmarked on or before __________, 2011. The information that must be included
with a request for exclusion is set forth in the Notice available at the Web site listed above. All
Members of the Settlement Class who do not timely and validly request exclusion from the
Settlement Class will be bound by any judgment entered in the Action pursuant to the
Stipulation.
 If you desire to object to the Settlement, the Plan of Allocation, or Plaintiff's Counsel's request
for a service award to Lead Plaintiff, you must do so in writing, in accordance with the
instructions set forth in the Notice available at the Web site listed above, and your objection
must be received by the following no later than ________, 2011:
Clerk of the Court
United States District Court
for the Southern District of New York
500 Pearl Street
New York, New York 10007
CHAPIN FITZGERALD
SULLIVAN & BOTTINI LLP
Francis A. Bottini, Jr.
Albert Y. Chang
550 West C Street
Suite 2000
San Diego, CA 92101

ROBBINS GELLER
RUDMAN & DOWD LLP
Darren J. Robbins
James I. Jaconette
655 West Broadway, Suite 1900
San Diego, CA 92101

Plaintiff’s Lead Counsel

Plaintiff’s Counsel

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MURRAY, FRANK & SAILER LLP
Brian P. Murray
275 Madison Avenue
Suite 801
New York, NY 10016

CLEARY GOTTLIEB
STEEN & HAMILTON LLP
Evan A. Davis
David E. Brodsky
One Liberty Plaza
New York, NY 10006

Plaintiff’s Counsel
Settling Defendants’ Counsel
MORE INFORMATION
 Visit the Web site: www.themasettlement.com, where papers related to the proposed
Settlement are available for inspection and download.
 Write the Settlement Administrator, Gilardi & Co. LLC, at the address set forth above.
 Call the Settlement Administrator toll-free at 1-877-230-7552.
 The Stipulation of Settlement and all other papers filed in the Action are also available for
inspection in the Clerk’s office at the United States District Court for the Southern District of
New York, Daniel Patrick Moynihan Courthouse, 500 Pearl Street, New York, NY 100071312.
DO NOT TELEPHONE THE COURT REGARDING THIS NOTICE

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