case: 1:11-cv-00226-tsb doc #: 166-2 filed: 09/29/17 … procter & gamble company, defendant....

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BLOOD HURST & O'REARDON, LLP TIMOTHY G. BLOOD (CA 149343) LESLIE E. HURST (CA 178432) THOMAS J. O'REARDON II (CA 247952) 701 B Street, Suite 1700 San Diego, CA 921 01 Telephone: 619/338-1100 619/338-1101 (fax) [email protected] lhurst@bholaw .com [email protected]

Class Counsel

[Additional counsel appear on signature page.]

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF OHIO

DINO RIKOS, TRACEY BURNS, and LEO JARZEMBROWSKI, On Behalf of Themselves, All Others Similarly Situated and the General Public,

Plaintiffs,

v.

THE PROCTER & GAMBLE COMPANY,

Defendant.

Case No.: 11-CV-00226-TSB Judge: Hon. Timothy S. Black

STIPULATION OF SETTLEMENT

CaseNo.l:ll-cv-226-TSB

SETTLEMENT AGREEMENT

Case: 1:11-cv-00226-TSB Doc #: 166-2 Filed: 09/29/17 Page: 2 of 69 PAGEID #: 6884

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I. RECITALS

A. This Settlement Agreement is entered into by and among plaintiffs Dino Rikos,

Tracey Burns and Leo Jarzembrowski ("Plaintiffs"), on behalf of themselves and the

Settlement Class Members, on the one hand, and defendant The Procter & Gamble Company

("P&G" or "Defendant"), on the other. Plaintiffs and Defendant are referred to individually in

this Settlement Agreement as "Party" and collectively as the "Parties." Capitalized terms used

herein are defined in §II of this Settlement Agreement or indicated in parentheses elsewhere in

this Settlement Agreement. Subject to Court approval as required by the applicable Federal

Rules of Civil Procedure, and as provided herein, the Parties stipulate and agree that, in

consideration for the promises and covenants set forth in the Settlement Agreement and upon

entry by the Court of a Final Judgment and Order Approving Settlement and the occurrence of

the Effective Date, the Action shall be settled and compromised upon the terms and conditions

contained herein.

B. WHEREAS, on September 21,2010, PlaintiffDino Rikos filed a class action

complaint against P&G in the United States District Court for the Southern District of

California captioned Dina Rikos v. The Procter & Gamble Company, Case No. 3:10-cv-01974-

BEN(CAB), on behalfofhimselfand all other consumers who purchased P&G's Align®

branded products; and

C. WHEREAS, on April13, 2011, the Court in the Southern District of California

granted P&G's motion to transfer venue pursuant to 28 U.S.C. § 1404, and transferred the

lawsuit to the Southern District of Ohio, which was renumbered Case No. 1: 11-cv-00226-

TSB; and

D. WHEREAS, on October 20, 2011, PlaintiffDino Rikos filed a complaint for

injunctive and declaratory relief against P&G arising out of the same facts and circumstances

as alleged in the lawsuit in the Superior Court ofthe State of California, County of San Diego

captioned Dina Rikos v. The Procter & Gamble Company, Case No. 27-2011-00099818-CU

BT-CTL (collectively with the lawsuits described in§§ I(B)-(C) of this Settlement Agreement,

the "Action"); and

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E. WHEREAS, on August 17, 2012, Plaintiffs Tracey Burns and Leo

Jarzembrowski were added as named plaintiffs and proposed class representatives upon filing

of the Second Amended Class Action Complaint in this Action; and

F. WHEREAS, on June 19, 2014, the Court granted Plaintiffs' motion for class

certification of consumers who purchased Align in California, Florida, Illinois, North Carolina,

and New Hampshire from March 1, 2009, through June 6, 2016. On August 20, 2015, the

United States Court of Appeals for the Sixth Circuit issued an order affirming the decision

granting class certification. On March 28, 2016, the United States Supreme Court denied

P&G's petition for a writ of certiorari; and

G. WHEREAS, the Parties have engaged in substantial litigation and discovery.

As the result of extensive and detailed negotiations and pursuant to a discovery plan and e-

discovery protocol, P&G produced approximately 752,341 pages of hard-copy and electronic

documents from targeted network sources and document custodians. Plaintiffs' Counsel

received an additional 20,280 pages of documents as the result of more than 30 subpoenas

served on third-parties involved in advertising and marketing Align, retailers selling Align,

and scientists who conducted research on Align. Plaintiffs' Counsel submitted reports pursuant

to Federal Rule of Civil Procedure 26 from seven experts on issues relating to advertising and

marketing, gastroenterology, microbiology, biostatistics, and damages. Similarly, P&G

submitted reports pursuant to Federal Rule of Civil Procedure 26 from eight experts on issues

relating to advertising and marketing, gastroenterology, microbiology, biostatistics, and

damages. Plaintiffs' Counsel deposed 15 witnesses in this Action, including some ofP&G's

primary scientists and marketers on Align, third-party scientists, and one ofP&G's primary

scientific experts. In addition to written discovery directed at Plaintiffs, P&G deposed each of

the Plaintiffs, as well as one of Plaintiffs' scientific experts. The Parties have also engaged in

extensive motion practice over the last seven years; and

H. WHEREAS, the Parties participated in several formal and informal mediation

and settlement negotiation sessions over the last seven years, including before Mark D.

Petersen in September 2011, with David P. Kamp in April2013, and before Antonio Piazza

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beginning in March 2017. Throughout the course of mediation efforts, the Parties were

simultaneously engaging in the discovery and litigation efforts described above. Following an

in-person mediation session before Mr. Piazza in March 2017, discussions continued and the

Parties ultimately reached the resolution discussed herein; and

I. WHEREAS, counsel for all Parties have reached the resolution set forth in this

Settlement Agreement, providing for, among other things, the settlement of the Action

between and among Plaintiffs, on behalf of themselves and the Settlement Class, and P&G, on

the terms and subject to the conditions set forth below; and

J. WHEREAS, the Parties agree that throughout the course ofthe litigation, all

Parties and their counsel complied with the provisions ofFederal Rule ofCivil Procedure 11;

and

K. WHEREAS, Class Counsel have determined that a settlement of the Action on

the terms reflected in this Settlement Agreement is fair, reasonable, adequate, and in the best

interests of Plaintiffs and the Settlement Class; and

L. WHEREAS, P&G, to avoid costs; disruption and distraction of further

litigation, and without admitting the truth of any allegations made in or related to the Action,

or any liability with respect thereto, has concluded that it is desirable that the claims against it

be settled and dismissed on the terms reflected in this Settlement Agreement;

M. NOW, THEREFORE, this Settlement Agreement is entered into by and among

the Parties, by and through their respective counsel and representatives, and the Parties agree

that: (I) upon the Effective Date, the Action and all Released Claims shall be fully, finally, and

forever settled and compromised as between Plaintiffs and the Settlement Class on the one

hand, and P&G on the other hand; (2) upon final approval of the Settlement Agreement, the

Final Judgment and Order Approving Settlement, substantially in the form attached as Exhibit

2, shall be entered dismissing the Action with prejudice and releasing all Released Claims

against the Released Parties, on the following terms and conditions; and (3) all necessary steps

shall be taken to secure the dismissal of the Action with prejudice.

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II. DEFINITIONS

A. As used in this Settlement Agreement and the attached exhibits (which are an

integral part ofthe Settlement Agreement and are incorporated in their entirety by reference),

the following terms shall have the meanings set forth below, unless this Settlement Agreement

specifically provides otherwise:

1. "Action" means Dina Rikos v. The Procter & Gamble Company, Case

No. 1: 11-cv-00226-TSB (S.D. Ohio), and all related lawsuits, including Dina Rikos v. The

Procter & Gamble Company, Case No. 3:10-cv-01974-BEN(CAB) (S.D. California), and

Dina Rikos v. The Procter & Gamble Company, Case No. 27-2011-00099818-CU-BT-CTL

(San Diego Cty. Sup. Ct.).

2. "Align" means the dietary supplements marketed and distributed by

P&G under the brand name Align® Probiotic Supplement.

3. "Attorneys' Fees and Expenses" means such funds as may be awarded

by the Court to compensate and reimburse Class Counsel and all other Plaintiffs' Counsel for

work performed in this matter, as described more particularly in Section IX of this Settlement

Agreement.

4. "Cash Refund" means the cash award payments set forth in Sections

IV(A)(2) of this Settlement Agreement.

5. "Claim" means a request for a Cash Refund submitted by a Settlement

Class Member on a Claim Form submitted to the Settlement Administrator in accordance with

the terms of this Settlement Agreement.

6. "Claimant" means a Settlement Class Member who submits a Claim.

7. "Claim Form" means the document to be submitted by a Claimant

seeking a Cash Refund pursuant to this Settlement Agreement that will accompany the Class

Notice, will be available online at the Settlement Website, and is substantially in the form of

Exhibit 3.

8. "Claims Deadline" means the date by which all Claim Forms must be

postmarked or submitted online to the Settlement Administrator to be considered timely. The

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Claims Deadline shall be stated in the Class Notice, the Settlement Website, and on the Claim

Form, and shall be 30 days after the date first set by the Court for the Final Approval Hearing.

9. "Claim Process" means the process by which a Settlement Class

Member requests a Cash Refund payment to the Settlement Administrator in accordance with

the terms of this Settlement Agreement.

10. "Class Notice" means the notice program discussed in Section VI of this

Settlement Agreement, including the forms of notice substantially in the forms of Exhibits 4

and 5.

11. "Class Representatives" or "Plaintiffs" means plaintiffs Dino Rikos,

Tracey Burns, and Leo Jarzembrowski.

12. "Class Counsel" means Timothy Blood and Thomas J. O'Reardon II of

Blood Hurst & O'Reardon, LLP.

13. "Court" means the United States District Court for the Southern District

of Ohio, the Honorable Timothy S. Black presiding.

14. "Defendant" or "P&G" means The Procter & Gamble Company.

15. "Digestive Health Improvement Contributions" or "DHIC" means the

contributions of (1) intellectual property and/or know how; and/or (2) research and/or

education grant(s); and/or (3) product donations to research or educational institutions or

programs working to improve digestive health pursuant to the terms and conditions provided

in Sections II(A)(15) & (19) and IV(A)(l) & (3)-(6) ofthis Settlement Agreement and Exhibit

6 attached to this Settlement Agreement.

16. "Effective Date" means the later in time of: (a) the date on which the

time to appeal has expired if no appeal has been taken from the Final Judgment and Order

Approving Settlement; (b) in the event that an appeal or other effort to obtain review has been

initiated, the date after such appeal or other review has been finally concluded and is no longer

subject to review, whether by appeal, petitions for rehearing, petitions for rehearing en bane,

petitions for writ of certiorari, or otherwise; or (c) if Class Counsel and P&G agree in writing,

any other agreed date that is earlier than the Effective Date as calculated according to

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subparagraphs (a) and (b) above.

1 7. "Final Approval Hearing" means the hearing to be conducted by the

Court on such date as the Court may order to determine the fairness, adequacy, and

reasonableness of the Settlement Agreement.

18. "Final Judgment and Order Approving Settlement" means, collectively,

the Final Judgment and Final Order Approving Settlement to be entered by the Court

approving the settlement as fair, adequate, and reasonable, confirming the certification of the

Settlement Class, and issuing such other findings and determinations as the Court and/or the

Parties deem necessary and appropriate to implement the Settlement Agreement. The Final

Judgment and Order Approving Settlement shall be substantially in the form of Exhibit 2.

19. "Guaranteed Digestive Health Improvement Contributions" or

"Guaranteed DHIC" means the $5,000,000 (five million dollars) of guaranteed, up-front, non-

reversionary Digestive Health Improvement Contributions to benefit directly the Settlement

Class and in addition to the Cash Refund payments to the Settlement Class via the Claim

Process.

20. "Notice and Claim Administration Expenses" means all costs and

expenses incurred by the Settlement Administrator, including all notice expenses, the costs of

administering the Class Notice program, and the costs of processing and distributing all Cash

Refunds to authorized Claimants.

21. "Notice Date" means the date by which the Settlement Administrator

shall commence dissemination of the Class Notice as provided in the Settlement Agreement,

which shall be within thirty (30) days from the Preliminary Approval Order.

22. "Objection Date" means the date by which Settlement Class Members

must file and serve objections to the Settlement Agreement and shall be no later than thirty

(30) days before the date first set for the Final Approval Hearing.

23. "Opt-Out Date" means the postmark date by which a Request for

Exclusion must be submitted to the Settlement Administrator for a Settlement Class Member

to be excluded from the Settlement Class, and shall be no later than thirty (30) days before the

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date first set for the Final Approval Hearing.

24. "P&G's Counsel" means D. Jeffrey Ireland and Erin E. Rhinehart of

Faruki Ireland Cox Rhinehart & Dusing P.L.L.

25. "Parties" means the Plaintiffs and Defendant in this Action.

26. "Plaintiffs' Counsel" means Class Counsel and all other law firms that

have made an appearance on behalf of Plaintiffs in the Action.

27. "Preliminary Approval Order" means the order to be entered by the

Court conditionally certifying the Settlement Class, preliminarily approving the Settlement

Agreement, setting the date of the Final Approval Hearing, appointing Class Counsel for the

Settlement Class, approving the Notice Program and Class Notice, and setting the Opt-Out

Date, Objection Date, and Notice Date, the proposed form of which is attached as Exhibit 1.

28. "Released Claims" means, with the exception of claims for personal

injury, all claims, demands, actions, suits, and/or causes of action that have been brought or

could have been brought, are currently pending or were pending, or are ever brought in the

future, by any Settlement Class Member against P&G or any Released Party, in any forum in

the United States and its territories, whether known or unknown, asserted or unasserted, under

or pursuant to any statute, regulation, common law or equity, that relate in any way, directly or

indirectly, to facts, acts, events, transactions, occurrences, courses of conduct, representations,

omissions, circumstances or other matters related to or referenced in any claim raised

(including, but not limited to, any claim that was raised against any Released Party) in this

Action, including damages, costs, expenses, penalties, and attorneys' fees.

29. "Released Party" or "Released Parties" means Defendant and its

parents, subsidiaries, divisions, departments, and affiliates, and any and all of its past and

present officers, directors, employees, stockholders, agents, successors, attorneys, insurers,

representatives, licensees, licensors, subrogees, and assigns.

30. "Releasing Party" means Plaintiffs and each Settlement Class Member

who does not timely submit a valid Request for Exclusion.

31. "Request for Exclusion" means the written communication that must be

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submitted to the Settlement Administrator and postmarked on or before the Opt-Out Date by a

Settlement Class Member who wishes to be excluded from the Settlement Class.

32. "Settlement Administrator" means KCC LLC, the entity retained by the

Parties and approved by the Court to design, consult on, and implement the program for

disseminating Class Notice to the Settlement Class, administer and send the Cash Refunds

portion of this Settlement Agreement, and perform overall administrative functions.

33. "Settlement Agreement" means this Settlement Agreement (including

all Exhibits attached to this Settlement Agreement), duly executed by Class Counsel and

P&G's Counsel.

34. "Settlement Class" means all persons who purchased within the United

States and its territories P&G's Align, other than solely for purposes of resale, from March 1,

2009 to June 6, 2016. Excluded from the Settlement Class are: (i) Defendant and its officers,

directors, and employees; (ii) any person who files a valid and timely Request for Exclusion;

and (iii) judicial officers and their immediate family members and associated court staff

assigned to the case.

35. "Settlement Class Member" means a member ofthe Settlement Class.

36. "Settlement Costs" means: (i) all Notice and Claim Administration

Expenses; (ii) any award of Attorneys' Fees and Expenses to Class Counsel approved by the

Court; and (iii) any service award to the Class Representatives approved by the Court.

37. "Settlement Website" means the Internet website to be created and

maintained for this settlement by the Settlement Administrator to provide information to the

public and the Settlement Class about this Settlement Agreement.

B. Capitalized terms used in this Settlement Agreement, but not defined in Section

II, shall have the meanings ascribed to them elsewhere in this Settlement Agreement.

III. CERTIFICATION OF THE CLASS AND FILING OF THE AMENDED COMPLAINT

A. Certification of the Settlement Class

1. This Settlement Agreement is for settlement purposes only, and neither

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the fact of, nor any provision contained in this Settlement Agreement, nor any action taken

hereunder, shall constitute or be construed as an admission of: (a) the validity of any claim or

allegation by Plaintiffs, or of any defense asserted by P&G, in the Action; or (b) any

wrongdoing, fault, violation of law, or liability on the part of any Party, Released Parties,

Settlement Class Member, or their respective counsel.

2. As part ofthe Motion for Preliminary Approval of Settlement, Plaintiffs

will seek certification of the Settlement Class. P&G consents, solely for purposes of

settlement, to the certification of the Settlement Class, to the appointment of Class Counsel,

and to the approval of Plaintiffs as suitable representatives of the Settlement Class; provided,

however, that if the Court fails to approve this Settlement Agreement or the Settlement

Agreement otherwise fails to be consummated, then P&G shall retain all rights it had

immediately as ofMarch 10, 2017, including the right to object to the maintenance ofthe

Action as a class action.

B. Filing of Amended Complaint

Plaintiffs shall file a Third Amended Class Action Complaint within 5 (five) days of

the execution of this Settlement Agreement. The Third Amended Class Action Complaint will

be substantially in the form of the operative Second Amended Class Action Complaint with

the exception that it will contain a new class definition to conform to this Settlement

Agreement.

IV. SETTLEMENT RELIEF

A. Digestive Health Improvement Contributions and Cash Refund Payments

1. Guaranteed, Up-Front, Non-Reversionary Digestive Health Improvement

Contributions

a. Guaranteed DHIC. P&G shall provide $5,000,000 (five million dollars)

of guaranteed, up-front, non-reversionary Digestive Health Improvement Contributions to

directly benefit the Settlement Class. The Guaranteed DHIC will be targeted to benefit directly

the Settlement Class; namely, U.S. consumers who suffer from Irritable Bowel Syndrome

("IBS") or who regularly seek assistance and care for their digestive health. P&G will provide 9 No. 1:11-cv-226-TSB



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the Guaranteed DHIC in the form of: (1) intellectual property and/or know-how; (2) research

and/or education grant(s); and/or (3) product donations to research and/or educational

institutions and/or programs working to improve digestive health. P&G will have sole

discretion to select the recipients of, and form and combination of, the Guaranteed DHIC

provided, including any combination of (1)- (3), above, subject to prior review and approval

by Class Counsel. Class Counsel shall not unreasonably withhold such approval, which may

be withheld for good cause only.

b. The Guaranteed DHIC are not made in lieu of and do not diminish Cash

Refund payments to Settlement Class.

2. Cash Refund to Settlement Class

a. Pursuant to the terms of the Claim Process described in this Settlement

Agreement, P&G shall provide Cash Refunds as follows:

1. Claims for purchases made between March 1, 2009 and October

31, 2009, inclusive: Settlement Class Members are entitled to

Cash Refunds for up to two (2) purchases of Align made

between March 1, 2009 and October 31, 2009, inclusive, also

defined as the period when the marketing claims included

"clinically proven" symptom relief claims. The amount of Cash

Refund for each such purchase is $15.88, which is 50% of the

average weighted retail price of Align during that time period.

2. Claims for purchases made between November 1, 2009 and June

6, 2016, inclusive: Settlement Class Members are entitled to a

Cash Refund for one (1) purchase of Align made between

November 1, 2009 and June 6, 2016, inclusive. The amount of

Cash Refund for each such purchase is $17.50, which is 50% of

the average weighted retail price of Align during that time

period.

3. Each Settlement Class Member is limited to a maximum Cash

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Refund of$49.26 for three Align purchases based on the formula

above and each Settlement Class Member's respective,

qualifying purchase(s) of Align.

b. To be eligible to receive any Cash Refund payment as provided in this

Settlement Agreement, each Claimant must submit a valid and timely Claim Form. Claim

Forms may be submitted either by mail or electronically through the Settlement Website and

must be postmarked on or before the Claims Deadline if submitted by mail, or submitted

electronically on or before the Claims Deadline. The Settlement Administrator shall make

final decisions on whether a valid Claim for payment is made, and the amount of such

payment, subject to the agreement of Class Counsel and P&G's Counsel. The Court shall

retain jurisdiction over all disputes arising under this Section of the Settlement Agreement.

c. If the aggregate of eligible Claims exceeds $15,000,000, then the

qualifying Claims shall be reduced pro rata to reach a total of $15,000,000. Under no

circumstances whatsoever shall P&G be responsible for paying, or causing to be paid, more

than $15,000,000 in Cash Refunds to the Settlement Class.

d. P&G shall not be obligated to make any payment on any

Claim until all eligible Claims have been fully and finally resolved by the Settlement

Administrator, per the terms of this Settlement Agreement. Once all Claims are fully and

finally resolved by the Settlement Administrator, and no later than 30 days from the Effective

Date, P&G shall pay, or cause to be paid, to a qualified settlement fund, the total aggregate

amount of the Claims that have been fully and finally resolved by the Settlement

Administrator.

3. Additional DHIC.

a. If the amount of eligible Claims is below $10,000,000, then P&G shall

contribute Additional DHIC so that the total aggregate contributions to the Settlement Class

(including Cash Refunds and all DHIC) shall reach, but not exceed, $15,000,000. For

example, if eligible Claims total $9,000,000, then P&G shall contribute $1,000,000 worth of

Additional DHIC.

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b. If the aggregate amount of eligible Claims exceeds $15,000,000, then

P&G shall contribute, approximately dollar-for-dollar above $15,000,000, Additional DHIC

up to a maximum of$25,000,000 total value (including Cash Refunds and all DHIC) to the

Settlement Class.

c. If the amount of eligible Claims is at or between $10,000,000 and

$15,000,000, then P&G shall not be obligated to contribute any Additional DHIC.

4. The DHIC shall be separate and apart from any similar benefit P&G provides in

the ordinary course of business or plans to provide at the time of execution of this Settlement

Agreement. At the request of Class Counsel, P&G will provide Class Counsel with a

statement attesting that it has complied with this provision.

5. Within a reasonable period of time following the Effective Date, but in any

event prior to the date on which the first Cash Refund payment is required to be made, P&G

shall begin making the Guaranteed DHIC described above. Distribution of all DHIC shall be

completed within two (2) years ofthe Effective Date.

6. Determination of Value ofDHIC.

a. The determination of the value of intellectual property shall be

supported by a report from Charles River Associates, an independent third-party appraiser

experienced and qualified in valuing intellectual property. The report by the independent

appraiser shall be timely provided to Class Counsel.

b. Research and Education Grants shall be valued at the dollar amount of

such grant actually paid by P&G.

c. Product Donations to Research and Educational Institutions or Programs

shall be valued at the price at which P&G sells the products to wholesalers and/or distributors.

d. Know How shall be valued at the reasonable cost of time spent by P&G

personnel, but at no time shall Know How be valued greater than actual cost to P&G. Charles

River Associates, an independent third-party appraiser experienced and qualified in valuing

intellectual property, shall review and support the valuation of Know How provided by P&G.

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B. Injunctive Relief

1. As determined from discovery conducted in the Action, the Parties

agree that the injunctive relief has value. P&G shall not make the "clinically proven" five

symptom relief claims contained on the Align packaging and sold to consumers from

approximately March 1, 2009 through October 31, 2009, absent new supporting clinical data

and/or analysis, or a change in product formula. "New supporting clinical data and/or

analysis" shall mean competent and reliable scientific evidence that was not originally relied

on by P&G to support the "clinically proven" five symptom relief claims contained on the

Align packaging and sold to consumers from approximately March 1, 2009 through October

31, 2009. Nothing in this Settlement Agreement shall otherwise prohibit P&G from making

advertising claims regarding Align, in any formulation.

V. CLAIM FORM SUBMISSION, REVIEW AND PAYMENT

1. Settlement Class Members may submit a Claim for a Cash Refund and

the Settlement Administrator shall review the Claim to determine if the Claimant has

substantially complied with the instructions on the Claim Form and process the Claim

accordingly.

2. Claim Forms will be available for online submission on the Settlement

Website, available for download from the Settlement Website, and upon request, will be

mailed or emailed to Settlement Class Members by the Settlement Administrator. The Claim

Form will also be available for download from Class Counsel's website and may be submitted

to the Settlement Administrator by U.S. mail or other regularly maintained mail delivery

service.

3. Payment will be made directly to the Settlement Class Member by first

class mail after such Settlement Class Member submits the Claim Form, and the Claim is

accepted for payment pursuant to the terms of this Settlement Agreement, and within sixty

(60) days ofthe Effective Date.

4. Failure to provide all information requested in the Claim Form will not

automatically result in nonpayment of the Claim. Instead, the Settlement Administrator will

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take all adequate and customary steps to determine the Settlement Class Member's eligibility

for payment and the amount of payment based on the information contained in the Claim

Form, and such other reasonably available information from which eligibility for payment can

be determined.

5. The Settlement Administrator shall send payment to eligible Settlement

Class Members or, as applicable, a letter explaining the rejection of the Claim and the appeal

of eligibility process, within sixty ( 60) days of the Effective Date.

6. Any Claimant who believes his or her Claim was improperly rejected

may appeal the rejection by sending written notice of his or her appeal to the designated

Settlement Administrator. The Settlement Administrator shall decide the appeal. The decision

of the Settlement Administrator shall be final. All appeals shall be decided, and any Cash

Refunds awarded pursuant to such appeals findings by the Settlement Administrator, no later

than one hundred twenty (120) days after the Effective Date.

VI. ADMINISTRATION AND NOTIFICATION PROCESS

A. Third-Party Settlement Administrator

1. The Parties shall retain KCC LLC as Settlement Administrator to help

implement the terms of the proposed Settlement Agreement. All Notice and claim

administration expenses shall be paid by P&G separate and apart from any other consideration

paid under this settlement.

2. The Settlement Administrator will be tasked with conducting matters

relating to the administration of this Settlement Agreement, as set forth herein. Those

responsibilities include, but are not limited to (1) arranging for publication of the Short-form

Class Notice and Long-form Class Notice, (2) mailing or arranging for the mailing, emailing

or other distribution of the Long-form Class Notice and Cash Refunds to Settlement Class

Members, (3) handling returned mail and email not delivered to Settlement Class Members,

(4) making any additional mailings required under the terms of this Settlement Agreement, (5)

answering written inquiries from Settlement Class Members and/or forwarding such inquiries

to Class Counsel or their designee, (6) receiving and maintaining on behalf of the Court and

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the Parties any Settlement Class Member correspondence regarding Requests for Exclusion

from the Settlement, (7) establishing the Settlement Website that posts the Third Amended

Class Action Complaint, Settlement Agreement, Short-form and Long-form Class Notices, and

other related documents, (8) establishing and maintaining a toll-free telephone number that

will provide settlement-related information to Settlement Class Members, (9) processing and

distributing Cash Refunds to Settlement Class Members, and (10) otherwise assisting with

administration of the Settlement Agreement.

3. The contract(s) with the Settlement Administrator(s) shall obligate the

Settlement Administrator to abide by the following performance standards:

a. The Settlement Administrator shall accurately and neutrally

describe, and shall train and instruct its employees and agents to accurately and objectively

describe, the provisions of this Settlement Agreement in communications with Settlement

Class Members; and

b. The Settlement Administrator shall provide prompt, accurate and

objective responses to inquiries from Class Counsel or their designee, P&G and/or P&G's

Counsel.

B. Class Notice

1. Long-form Class Notice: The Long-form Class Notice available on the

Settlement Website and to be sent to Settlement Class Members at their request shall be in

substantially the form of Exhibit 5. At a minimum, the Long-form Class Notice shall:

a. include a short, plain statement ofthe background of the Action

and the proposed Settlement Agreement;

b. describe the proposed settlement relief as set forth in this

Settlement Agreement;

c. inform Settlement Class Members that, if they do not exclude

themselves from the Class, they may be eligible to receive relief;

d. describe the procedures for participating in the settlement,

including all applicable deadlines, and advise Settlement Class Members of their rights to

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submit a Claim to be eligible to receive a Cash Refund under the Settlement Agreement;

e. explain the scope ofthe Release;

f. state that any Cash Refunds to Settlement Class Members under

the Settlement Agreement is contingent on the Court's final approval of the Settlement

Agreement;

g. state the identity of Class Counsel and the amount sought in

attorneys' fees and expenses and the Class Representative service award;

h. explain the procedures for opting out of the Class including the

applicable deadline for opting out;

i. explain the procedures for objecting to the Settlement

Agreement including the applicable deadline; and

j. explain that any judgment or orders entered in the Action,

whether favorable or unfavorable to the Class shall include and be binding on all Settlement

Class Members who have not been excluded, even if they have objected to the proposed

Settlement Agreement and even if they have another claim, lawsuit, or proceeding pending

against Defendant.

2. Short-form Class Notice: The Short-form Class Notice shall be in

substantially the form of Exhibit 4, and shall include the web address of the Settlement

Website and a telephone number for the Settlement Administrator, a description of the

Settlement Class, a brief description of relief available to the Settlement Class, and an

explanation of the right to object and/or opt-out of the Settlement Class and the deadlines to

exercise these rights.

3. Website Notice: The Settlement Website shall be created and

maintained by the Settlement Administrator. The Settlement Website shall be activated no

later than the Notice Date, and shall remain active until120 days after the Effective Date. The

Settlement Administrator shall post the Class Notice, a copy of this Settlement Agreement and

its Exhibits, the Preliminary Approval Order, the Third Amended Class Action Complaint, the

Final Approval Order, answers to frequently asked questions, the number for the toll-free

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hotline maintained by the Settlement Administrator for this settlement, settlement-related

deadlines, and any other materials or information the Parties agree to include on the Settlement

Website. These documents shall be available on the Settlement Website for as long as the

Settlement Website is active. The Settlement Administrator shall obtain the Parties' respective

consent before publishing any documents or other information relating to the Settlement

Agreement.

4. Class Action Fairness Act Notice: P&G shall work with the Settlement

Administrator to comply with all notice requirements imposed by 28 U.S.C. § 1715(b)

("CAF A Notice").

C. Dissemination of Class Notice

1. Publication Notice: The Short-form Class Notice, or a variation of the

Short-form Class Notice suitable for the manner of the specific publication, shall be published

no later than the Notice Date. Publication will include a combination of national publications

and outlets, including effective online advertising developed with the Settlement Administrator

using accepted reach methodology to reach the Settlement Class.

2. Posting of the Notice: No later than the Notice Date, the Settlement

Administrator will post the Long-form Class Notice on the Settlement Website. Class Notice

may also be posted on Class Counsel's website at its option.

3. Upon Request: Class Notice shall also be sent via electronic mail or

regular mail to Settlement Class Members who so request.

VII. OBJECTIONS AND REQUESTS FOR EXCLUSION

A. Objections

1. Any Settlement Class Member who intends to object to the fairness of

the Settlement Agreement must do so in writing no later than the Objection Date. The written

objection must be filed with the Court and served on the Class Counsel identified in the Class

Notice and P&G's Counsel no later than the Objection Date. The written objection must

include: (a) a heading which refers to the Action; (b) the objector's name, address, telephone

number and, if represented by counsel, the name, address, and telephone number ofhis/her

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counsel; (c) a statement under oath that the objector is a Settlement Class Member; (d) a

statement whether the objector intends to appear at the Final Approval Hearing, either in

person or through counsel; (e) a statement ofthe objection and the grounds supporting the

objection; (f) copies of any papers, briefs, or other documents upon which the objection is

based; and (g) the objector's handwritten, dated signature (the signature of objector's counsel,

an electronic signature, and the annotation "/s" or similar annotation will not suffice).

2. Any Settlement Class Member who files and serves a written objection,

as described in the preceding Section, may appear at the Final Approval Hearing, either in

person or through counsel hired at the Settlement Class Member's expense, to object to any

aspect of the fairness, reasonableness, or adequacy of this Settlement Agreement, including

attorneys' fees. Settlement Class Members or their attorneys who intend to make an

appearance at the Final Approval Hearing must serve a notice of intention to appear on the

Class Counsel identified in the Class Notice and to P&G's Counsel, and file the notice of

appearance with the Court, no later than twenty (20) days before the Final Approval Hearing,

or as the Court may otherwise direct.

3. Any Settlement Class Member who fails to comply with the provisions

of Sections VII(A)(l )-(2) above shall waive and forfeit any and all rights he or she may have

to appear separately and/or to object, and shall be bound by all of the terms of this Settlement

Agreement and by all proceedings, orders and judgments, including, but not limited to, the

Release, in the Action, other than as provided in Section VII(A)(l) above.

B. Requests for Exclusion

1. Any member of the Settlement Class may request to be excluded from

the Settlement Class. A Settlement Class Member who wishes to opt out of the Class must do

so no later than the Opt-Out Date. To opt out, a Settlement Class Member must send to the

Settlement Administrator a written Request for Exclusion that is postmarked no later than the

Opt-Out Date. The Request for Exclusion must be personally signed by the Settlement Class

Member requesting exclusion and contain a statement that indicates a desire to be excluded

from the Settlement Class. Mass or class opt-outs shall not be allowed. No person may opt out

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of the Settlement Class for any other person or be opted-out by any other person, and no

Settlement Class Member shall be deemed opted-out of the Settlement Class through any

purported "mass" or "class" opt-outs.

2. Any Settlement Class Member who does not file a timely, written

Request for Exclusion shall be bound by all subsequent proceedings, orders and the Final

Judgment and Order Approving Settlement in this Action, even ifhe or she has pending, or

subsequently initiates, litigation, arbitration, or any other proceeding against Defendant

relating to the Released Claims.

3. Any Settlement Class Member who properly requests to be excluded

from the Settlement Class shall not: (a) be bound by any orders or judgments entered in the

Action relating to the Settlement Agreement; (b) be entitled to a Cash Refund from the

Settlement Fund, or be affected by, the Settlement Agreement; (c) gain any rights by virtue of

the Settlement Agreement; or (d) be entitled to object to any aspect ofthe Settlement

Agreement.

4. The Settlement Administrator shall provide Class Counsel and P&G's

Counsel with a final list of all timely Requests for Exclusion within fifteen ( 15) days after the

Opt-Out Date. P&G's Counsel shall file the final list of all timely Requests for Exclusion prior

to or at the Final Approval Hearing.

VIII. RELEASES

A. Upon the Effective Date, each and every Releasing Party shall be permanently

barred and enjoined from initiating, asserting, and/or prosecuting any Released Claim against

any Released Party in any court or any forum. In the event of a material breach of this

Settlement Agreement, as determined by the Southern District of Ohio, the Honorable Judge

Timothy S. Black, the releases and other provisions of this Settlement Agreement, as

appropriate, shall be null and void.

B. Upon the Effective Date, each Releasing Party shall be deemed to have released

and forever discharged each Released Party of and from any and all liability for any and all

Released Claims.

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C. Additional Mutual Releases

2 1. On the Effective Date, each of the Released Parties shall be deemed to

3 have fully, finally, and forever released, relinquished and discharged the Releasing Parties

4 from all claims of every nature and description, known and unknown, relating to the initiation,

5 assertion, prosecution, non-prosecution, settlement, and/or resolution of the Action or the

6 Released Claims.

7 2. On the Effective Date, each of the Releasing Parties shall be deemed to

8 have fully, finally, and forever released, relinquished and discharged the Released Parties from

9 all claims of every nature and description, including unknown claims, relating to the defense,

10 settlement, and/or resolution of the Action or the Released Claims. p....

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18 of action of every nature, character, and description, whether known or unknown, asserted or

19 un-asserted, suspected or unsuspected, fixed or contingent, relating to the Action, which

20 Defendant may now have, own or hold or which Defendant at any time may have, own, or

21 hold, against Plaintiffs, Class Counsel, and Plaintiffs' Counsel by reason of any matter, cause

22 or thing whatsoever occurred, done, omitted, or suffered from the beginning of time to the date

23 of this Settlement Agreement.

24 4. Except as to the rights and obligations provided for under this

25 Settlement Agreement, Plaintiffs and each Settlement Class Member who does not timely

26 submit a valid Request for Exclusion, and their attorneys, including Class Counsel, and all of

27 their respective past, present, and future predecessors, successors, assigns, devisees, relatives,

28 heirs, legatees, attorneys, insurers, and agents, including their respective past, present, and

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future predecessors, successors, assigns, devisees, relatives, heirs, legatees, attorneys, insurers,

and agents, hereby release and forever discharge P&G and its predecessors, parents, direct and

indirect subsidiaries, and affiliates, and its equity holders, shareholders, members, trusts (any

settlers, trustees and beneficiaries), directors, officers, employees, partners, agents,

representatives, licensors, licensees, suppliers, customers, attorneys, insurers, accountants,

heirs, executors, administrators, conservators, successors and assigns, and each and all ofthem

at any tier, or and from any and all claims, demands, liens, actions, suits, causes of action,

obligations, controversies, debts, losses, costs, attorneys' fees, expenses, damages, judgments,

orders, and liabilities of whatever kind, nature or description, at law, in equity, or otherwise,

whether now known or unknown, asserted or unasserted, fixed or contingent, suspected or

unsuspected, and whether or not concealed or hidden, that arose out of, were raised or could

have been raised in, or connected to, the Action. Notwithstanding anything herein to the

contrary, nothing in this Settlement Agreement shall prevent any Party from asserting any

claim arising from their respective rights under or the breach of any obligations in this

Settlement Agreement or any claim, cause of action or matter not released by this settlement.

D. The Parties intend the Releases set forth in this Settlement Agreement to be

general and comprehensive in nature, and for the Parties to release all claims and potential

claims stemming only from the Action against each other to the maximum extent permitted at

law, except for any claims to enforce this Settlement Agreement.

E. The Parties agree and warrant that they shall not bring, commence, institute,

maintain, or prosecute, or allow any person, entity, or organization to bring, commence,

institute, maintain, or prosecute in their name, any other action at law or in equity or any legal

proceeding, claim, or counterclaim whatsoever against the other Party or any Released Parties

arising from, or connected to, the Action, other than an action to enforce this Settlement

Agreement or based on an alleged breach thereof. This Settlement Agreement may be pleaded

as a full and complete defense to, and may be used as a basis for injunctive relief against, any

action, suit, or other proceeding that may be instituted, prosecuted, or attempted in breach of

this Settlement Agreement.

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F. All Parties to this Settlement Agreement, including but not limited to all

Releasing Parties, specifically acknowledge that they have been informed by their legal

counsel of Section 1542 of the California Civil Code and they expressly waive and relinquish

any rights or benefits available to them under this statute. California Civil Code § 1542

provides:

A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM OR HER MUST HAVE MATERIALLY AFFECTED HIS OR HER SETTLEMENT WITH THE DEBTOR.

Notwithstanding Section 1542 ofthe California Civil Code, or any other statute or rule oflaw

of similar effect, this Settlement Agreement shall be given full force and effect according to

each and all of its expressed terms and provisions, including those related to any unknown or

unsuspected claims, liabilities, demands, or causes of action which are based on, arise from or

are in any way connected with the Actions. All Parties to the Settlement Agreement, including

but not limited to all Releasing Parties, have been advised specifically by their legal counsel of

the effect of this waiver, and they expressly acknowledge that they understand the significance

and consequence ofthis expressed wavier of Section 1542 ofthe California Civil Code.

G. The Parties agree that the Court shall retain exclusive and continuing

jurisdiction over the Parties and the Settlement Class Members to interpret and enforce the

terms, conditions, and obligations under the Settlement Agreement.

IX. ATTORNEYS' FEES AND EXPENSES AND PLAINTIFF SERVICE AWARDS

A. Class Counsel shall make, and Defendant agrees not to oppose, an application

for an award of attorneys' fees and reimbursement of expenses not to exceed $4,500,000. The

award of Attorneys' Fees and Expenses will be paid by P&G separate and apart from the other

payment obligations in this Settlement Agreement. The application for an award of Attorneys'

Fees and Expenses will be made by Class Counsel on behalf of themselves and the other

Plaintiffs' Counsel. Class Counsel shall distribute and allocate the Attorneys' Fees and

Expense awarded to Plaintiffs' Counsel in its sole discretion. The attorneys' fees were

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negotiated subsequent to and separate from the other terms of this Settlement Agreement.

P&G shall not be responsible for any other fees or expenses incurred by Plaintiffs or Plaintiffs'

Counsel.

B. There shall be no obligation to pay an award of Attorneys' Fees and Expenses

unless and until final Court approval. Class Counsel will be entitled to payment of the fees and

expenses within thirty (30) days of the Effective Date.

C. Plaintiffs will apply for Class Representative service awards of up to $2,500 for

each Class Representative. The Court-approved service awards will be paid by P&G separate

and apart from the other payment obligations in this Settlement Agreement. The purpose of

such awards shall be to compensate Plaintiffs for efforts and risks they have taken on behalf of

the Settlement Class. Nothing in this Settlement Agreement shall be interpreted as an offer or

admission concerning the amount, if any, of the service award that Plaintiffs shall be awarded.

The service awards to the Plaintiffs will be in addition to the other consideration to the

Settlement Class Members as set forth in this Settlement Agreement. The service award shall

be paid to the Class Representatives within thirty (30) days of the Effective Date.

X. FINAL JUDGMENT AND ORDER APPROVING SETTLEMENT

This Settlement Agreement is subject to and conditioned upon the issuance by the

Court of the Final Judgment and Order Approving Settlement that finally certifies the Class for

the purposes of this settlement, grants final approval of the Settlement Agreement, and

provides the relief specified herein, which relief shall be subject to the terms and conditions of

the Settlement Agreement and the Parties' performance of their continuing rights and

obligations hereunder. Such Final Judgment and Order Approving Settlement shall be in

substantially the form attached hereto as Exhibit 2.

XI. REPRESENTATIONS AND WARRANTIES

A. Defendant represents and warrants: (1) that it has the requisite corporate power

and authority to execute, deliver, and perform the Settlement Agreement and to consummate

the transactions contemplated hereby; (2) that the execution, delivery and performance of the

Settlement Agreement and the consummation by it of the actions contemplated herein have

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been duly authorized by necessary corporate action on the part of Defendant; and (3) that the

Settlement Agreement has been duly and validly executed and delivered by Defendant and

constitutes their legal, valid and binding obligations.

B. Plaintiffs represent and warrant that they are entering into the Settlement

Agreement on behalf of themselves individually and as proposed representatives of the

Settlement Class Members, of their own free will and without the receipt of any consideration

other than what is provided in the Settlement Agreement or disclosed to, and authorized by,

the Court. Plaintiffs represent and warrant that they have reviewed the terms of the Settlement

Agreement in consultation with Class Counsel and believe them to be fair and reasonable, and

covenant that they will not file a Request for Exclusion from the Settlement Class or object to

the Settlement Agreement. Class Counsel represent and warrant that they are fully authorized

to execute the Settlement Agreement on behalf of Plaintiffs.

C. The Parties warrant and represent that no promise, inducement or consideration

for the Settlement Agreement has been made, except those set forth herein.

XII. NO ADMISSIONS, NO USE

A. The Settlement Agreement and every stipulation and term contained in it is

conditioned upon final approval of the Court and is made for settlement purposes only.

Whether or not consummated, this Settlement Agreement shall not be: (1) construed as,

offered in evidence as, received in evidence as, and/or deemed to be, evidence of a

presumption, concession or an admission by Plaintiffs, Defendant, any Settlement Class

Member or Releasing Party or Released Party, of the truth of any fact alleged or the validity of

any claim or defense that has been, could have been, or in the future might be asserted in any

litigation or the deficiency of any claim or defense that has been, could have been, or in the

future might be asserted in any litigation, or of any liability, fault, wrongdoing or otherwise of

such Party; or (2) construed as, offered in evidence as, received in evidence as, and/or deemed

to be, evidence of a presumption, concession or an admission of any liability, fault or

wrongdoing, or in any way referred to for any other reason, by Plaintiffs, Defendant, any

Releasing Party or Released Party in the Action, or in any other civil, criminal or

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administrative action or proceeding other than such proceedings as may be necessary to

effectuate the provisions of the Settlement Agreement.

B. No Admission. The terms of this Settlement Agreement are not, and should

not be construed as, an admission ofliability or wrongdoing on the part ofP&G. The Parties

further agree that any changes that P&G made to its website or packaging were done by P&G

without any obligation.

XIII. TERMINATION OF THIS SETTLEMENT AGREEMENT

A. Any Party may terminate this Settlement Agreement by providing written

notice to the other Parties within ten ( 1 0) days of any of the following events:

1. The Court does not enter a Preliminary Approval Order that conforms in

material respects to Exhibit 1 ; or

2. The Court does not enter a Final Judgment and Order Approving

Settlement conforming in material respects to Exhibit 2, or if entered, such Final Judgment and

Order Approving Settlement is reversed, vacated, or modified in any material respect by

another court.

B. P&G shall have the right to terminate the Settlement Agreement if the number

of Class Members who submit valid requests to opt out ofthe Settlement Class is or exceeds

500. P&G must exercise their right to terminate the Settlement Agreement due to the number

of Class Members who request to Opt Out of the Settlement Class within ten (10) days from its

receipt from the Settlement Administrator of a complete list of all Opt Out requests submitted

by the Opt Out deadline and not timely revoked. P&G shall provide written notice to Class

Counsel of its decision to terminate the Settlement Agreement pursuant to this Section ofthe

Settlement Agreement.

C. In the event that this Settlement Agreement terminates for any reason, all

Parties shall be restored to their respective positions as of March 10, 2017. In no event will

Defendant be entitled to recover any funds spent for Notice and Claims Administration

Expenses prior to termination of this Settlement Agreement.

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XIV. MISCELLANEOUS PROVISIONS

A. Entire Settlement Agreement: The Settlement Agreement, including all

Exhibits, shall constitute the entire Settlement Agreement among the Parties with regard to the

Action and shall supersede any previous settlement agreements, terms sheets, representations,

communications and understandings among the Parties with respect to the subject matter of the

Settlement Agreement. The Settlement Agreement may not be changed, modified, or amended

except in a writing signed by one of Class Counsel and one ofP&G's Counsel and, if required,

approved by the Court. The Parties contemplate that the Exhibits to the Settlement Agreement

may be modified by subsequent agreement of Defendant and Class Counsel, or by the Court.

B. Execution in Counterparts: The Settlement Agreement may be executed by the

Parties in one or more counterparts, each of which shall be deemed an original but all of which

together shall constitute one and the same instrument. Facsimile signatures or signatures sent

by email shall be treated as original signatures and shall be binding.

C. Notices: Whenever this Settlement Agreement requires or contemplates that

one Party shall or may give notice to the other, notice shall be provided in writing by first class

US Mail and email to:

1. If to Plaintiffs or Class Counsel:

Timothy G. Blood BLOOD HURST & O'REARDON, LLP 701 B Street, Suite 1700 San Diego, California 92101 Tel: 619-338-1100 [email protected]

2. If to P&G or P&G's Counsel:

D. Jeffrey Ireland F ARUKI IRELAND COX RHINEHART & DUSING P.L.L. 201 E. Fifth Street, Suite 1420 Cincinnati, OH 45202 Tel: 513-632-0310 [email protected]

D. Good Faith: The Parties agree that they will act in good faith and will not

engage in any conduct that will or may frustrate the purpose of this Settlement Agreement. The

26 No. 1:11-cv-226-TSB



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Parties further agree, subject to Court approval as needed, to reasonable extensions oftime to

carry out any of the provisions ofthe Settlement Agreement.

E. Publicity: To the extent P&G or Plaintiffs make any public statements

regarding the settlement of this Action, any such statements shall be consistent with the Court

approved documents that comprise this Settlement Agreement or otherwise agreed on by the

Parties in writing in advance.

F. Binding on Successors: The Settlement Agreement shall be binding upon, and

inure to the benefit of, the heirs, successors and/or assigns of the Released Parties.

G. Arms-Length Negotiations: The determination of the terms and conditions

contained herein and the drafting ofthe provisions of this Settlement Agreement has been by

mutual understanding after negotiation, with consideration by, and participation of, the Parties

hereto and their counsel. This Settlement Agreement shall not be construed against any Party

on the basis that the Party was the drafter or participated in the drafting. Any statute or rule of

construction that ambiguities are to be resolved against the drafting party shall not be

employed in the implementation of this Settlement Agreement and the Parties agree that the

drafting of this Settlement Agreement has been a mutual undertaking.

H. Waiver: The waiver by one Party of any provision or breach of the Settlement

Agreement shall not be deemed a waiver of any other provision or breach of the Settlement

Agreement.

I. Variance: In the event of any variance between the terms of this Settlement

Agreement and any of the Exhibits hereto, the terms of this Settlement Agreement shall

control and supersede the Exhibit(s).

J. Exhibits: All Exhibits to this Settlement Agreement are material and integral

parts hereof, and are incorporated by reference as if fully rewritten herein.

K. Taxes: No opinion concerning the tax consequences of the Settlement

Agreement to any Settlement Class Member is given or will be given by P&G, P&G's

Counsel, Class Counsel, or Plaintiffs' Counsel; nor is any Party or their counsel providing any

representation or guarantee respecting the tax consequences of the Settlement Agreement as to

27 No. 1: 11-cv-226-TSB



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any Settlement Class Member. Each Settlement Class Member is responsible for his/her tax

reporting and other obligations respecting the Settlement Agreement, if any.

L. Modification in Writing: This Settlement Agreement may be amended or

modified only by written instrument signed by one of Class Counsel and one ofP&G's

Counsel. Amendments and modifications may be made without additional notice to the

Settlement Class Members, unless such notice is required by the Court.

M. Integration: This Settlement Agreement represents the entire understanding and

Settlement Agreement among the Parties and supersedes all prior proposals, negotiations,

settlement agreements, and understandings related to the subject matter of this Settlement

Agreement. The Parties acknowledge, stipulate and agree that no covenant, obligation,

condition, representation, warranty, inducement, negotiation or undertaking concerning any

part or all of the subject matter of this Settlement Agreement has been made or relied upon

except as set forth expressly herein.

N. Retain Jurisdiction: The Court shall retain jurisdiction with respect to the

implementation and enforcement of the terms of this Settlement Agreement, and all Parties

hereto submit to the jurisdiction of the Court for purposes of implementing and enforcing the

Settlement Agreement embodied in this Settlement Agreement.

0. Choice of Law: This Settlement Agreement is governed by, and shall be

construed and enforced in accordance with, Ohio law.

P. Computation ofTime: All deadlines and time periods prescribed in this

Settlement Agreement shall be calculated pursuant to Fed. R. Civ. P. 6.

IN WITNESS WHEREOF, the Parties hereto have caused the Settlement Agreement to

be executed as of the last date set forth below.

28 No. 1:11-cv-226-TSB



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Dated: //21/17- BLOOD HURST & O'REARDON, LLP TIMOTHY G. BLOOD (CA 149343) LESLIE E. HURST (CA 178432) THOMAS J. O'REARDON II (CA 247952) .....

701 B Street, Suite 1700 San Diego, CA 92101 Telephone: 619/338-1100 619/338-1101 (fax) [email protected] lhurst@bholaw. com toreardon@bholaw. com

Class Counsel

FUTSCHER LAW PLLC DAVID A. FUTSCHER 913 N. Oak Drive Villa Hills, KY 41 017 Telephone: 859/912-2394 david@futscherlaw. com

NICHOLAS & TOMASEVIC, LLP CRAIG M. NICHOLAS (178444) ALEX M. TOMASEVIC (245598) 225 Broadway, 19th Floor San Diego, CA 92101 Telephone: 619/325-0492 619/325-0496 (fax) [email protected] atomasevic(Ci1nicholaslaw .org

MORGAN & MORGAN, P .A. RACHEL L. SOFFIN One Tampa City Center 201 N. Franklin St., 7th Floor Tampa, FL 33602 Telephone: 813/223-5505 813/223-5402 (fax) rsoffin@forthepeople. com

O'BRIEN LAW FIRM, PC EDWARD K. O'BRIEN One Sundial A venue, 5th Floor Manchester, NH 03103 Telephone: 603/668-0600 603/672-3815 (fax) eobrien@ekoblaw .com

No. 1:11-cv-226-TSB ---------------:-=~,-----:--------,--'2.2 ___ ,,_,,_ =-==-= SEITLEMENT AGREEMENT


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28 1223156.1

SAMUEL ISSACHAROFF 40 Washington Square South New York, NY 10012 Telephone: 212/998-6580 [email protected]

BONNETT, F AIRBOURN, FRIEDMAN & BALINT, P.C.

ANDREWS. FRIEDMAN ELAINE A. RYAN PATRICIAN. SYVERSON (203111) 2325 E. Camelback Road, Suite 300 Phoenix, AZ 85016 Telephone: 602/274-1100 602/798-5860 (fax) [email protected] [email protected] [email protected]

Additional Plaintiffs' Counsel

F ARUKI IRELAND COX RHINEHART & DUSING P.L.L. D. JEFFREY IRELAND (0010443)

Trial Attorney ERIN E. RHINEHART (0078298)

201 E. Fifth Street, S Cincinnati, OH 45 Telephone: 513/632-0310 513/632-0319 (fax) [email protected] [email protected]

WElL, GOTSHAL & MANGES LLP DIANE P. SULLIVAN (pro hac vice) ALLISON M. BROWN (pro hac vice) ADAMS. TOLIN (pro hac vice) 767 Fifth Avenue New York, NY 10153 Telephone: 609/986-1120 609/986-1199 (fax) [email protected] [email protected] adam. [email protected]

Attorneys for Defendant The Procter & Gamble Company

30 No. 1:11-cv-226-TSB



EXHIBIT 1


IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF OHIO

WESTERN DIVISION (CINCINNATI)

DINO RIKOS, TRACEY BURNS, and * CASE NO. 1: 11-cv-226 LEO JARZEMBROWSKI, On Behalf of * Themselves, All Others Similarly Situated * (Judge Timothy S. Black) and the General Public, *

* Plaintiffs, * [PROPOSED] ORDER

* PRELIMINARILY APPROVING v. * CLASS ACTION SETTLEMENT,

* CONDITIONALLY CERTIFYING THE PROCTER & GAMBLE COMPANY, * THE SETTLEMENT CLASS,

* PROVIDING FOR NOTICE AND Defendant.

* SCHEDULING ORDER

WHEREAS, PlaintiffDino Rikos, Tracey Burns and Leo Jarzembowski

("Plaintiffs"), on behalf of themselves and the Settlement Class Members, on the one hand, and

Defendant The Procter & Gamble Company ("P&G" or "Defendant," which collectively with

Plaintiffs are the "Parties"), on the other, have entered into a Settlement Agreement, filed

herewith, after lengthy arms-length settlement discussions;

WHEREAS, the Court has received and considered the Settlement Agreement,

including the accompanying Exhibits, which are incorporated by reference and an integral part of

the Settlement Agreement;

WHEREAS, the Parties have made an application, pursuant to Federal Rules of

Civil Procedure, Rule 23(e), for an order preliminarily approving the settlement ofthis Action,

and for its dismissal with prejudice upon the terms and conditions set forth in the Settlement

Agreement;


WHEREAS, the Court has reviewed the Parties' application for such order, and

has found good cause for same.

NOW, THEREFORE, IT IS HEREBY ORDERED:

I. THE SETTLEMENT CLASS IS CERTIFIED

1. Pursuant to Federal Rules of Civil Procedure, Rule 23, and for settlement

purposes only, the Court hereby certifies this Action as a class action on behalf of the following

Settlement Class:

All persons who purchased within the United States and its territories P&G's Align, other than solely for purposes of resale, from March 1, 2009 to June 6, 2016. Excluded from the Settlement Class are: (i) Defendant and its officers, directors, and employees; (ii) any person who files a valid and timely Request for Exclusion; and (iii) judicial officers and their immediate family members and associated court staff assigned to the case.

2. With respect to the Settlement Class, the Court preliminarily finds the

prerequisites for a class action under Rules 23(a) and (b)(3) ofthe Federal Rules of Civil

Procedure have been met, in that: (a) the Settlement Class is so numerous that joinder of all

individual Settlement Class Members in the Action is impracticable; (b) there are questions of

law and fact common to the Settlement Class and those common questions of law and fact

predominate over any individual questions; (c) the claims of the Class Representatives are

typical of the claims of the Settlement Class; (d) the Class Representatives and Class Counsel

will fairly and adequately represent the interests of the Settlement Class; and (e) a class action is

superior to other available methods for the fair and efficient adjudication of the controversy.

2


3. Pursuant to Rule 23 ofthe Federal Rules of Civil Procedure, the Court hereby

appoints Dino Rikos, Tracey Burns and Leo Jarzembowski, the Plaintiffs in the Action, as Class

Representatives ofthe Settlement Class.

4. Having considered the factors set forth in Rule 23(g)(1) of the Federal Rules of

Civil Procedure, the Court hereby appoints Timothy G. Blood and Thomas J. O'Reardon II of

Blood Hurst & O'Reardon, LLP as Class Counsel to represent the Settlement Class. Any

Settlement Class Member may enter an appearance in the Action, at his or her own expense,

individually or through counsel. All Settlement Class Members who do not enter an appearance

will be represented by Class Counsel.

II. THE SETTLEMENT IS PRELIMINARILY APPROVED AND FINAL APPROVAL SCHEDULE SET

1. The Court hereby preliminarily approves the Settlement Agreement and the terms

and conditions set forth therein, subject to further consideration at the Final Approval Hearing

described below.

2. The Court has conducted a preliminary assessment of the fairness, reasonableness,

and adequacy of the Settlement Agreement, and hereby finds that the Settlement Agreement falls

within the range of reasonableness meriting possible final approval. The Court therefore

preliminarily approves the Settlement Agreement.

3. Pursuant to the Federal Rules of Civil Procedure, Rule 23(e) the Court will hold a

settlement hearing (the "Final Approval Hearing") on ______ , 201_, at ___ _

a.m./p.m., in the Courtroom of the Honorable Timothy S. Black, United States District Court for

3


the Southern District of Ohio, Potter Stewart U.S. Courthouse, 100 East Fifth Street, Cincinnati,

Ohio 45202, for the following purposes:

(a) finally determining whether the Settlement Class meets all applicable

requirements ofFederal Rules of Civil Procedure, Rule 23 and, thus, the Settlement Class claims

should be certified for purposes of effectuating the Settlement Agreement; determining whether

the proposed settlement of the Action on the terms and conditions provided for in the Settlement

Agreement are fair, reasonable and adequate and should be approved by the Court;

(b) considering the application of Class Counsel for an award of Attorneys'

Fees and Expenses as provided for under the Settlement Agreement;

(c) considering the application of Plaintiffs for service awards as provided for

under the Settlement Agreement;

(d) considering whether the Court should enter the [Proposed] Final Judgment

and Order Approving Settlement;

(e) considering whether the release by the Settlement Class Members ofthe

Released Claims as set forth in the Settlement Agreement should be provided; and

(f) ruling upon such other matters as the Court may deem just and

appropriate.

4. The Court may adjourn the Final Approval Hearing and later reconvene such

hearing without further notice to the Settlement Class Members.

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5. The Parties may further modify the Settlement Agreement prior to the Final

Approval Hearing so long as such modifications do not materially change the terms of the

settlement provided thereunder. The Court may approve the Settlement Agreement with such

modifications as may be agreed to by the Parties, if appropriate, without further notice to

Settlement Class Members.

6. Settlement Class Members must file and serve any objections to the proposed

Settlement no later than thirty (30) days before the date first set for the Final Approval Hearing,

including any memorandum and/or submissions in support of said objection, which deadline will

be set forth in the Class Notice.

7. Opening papers in support of the Settlement Agreement and any application for

an award of Attorneys' Fees and Expenses and service awards for the Class Representatives must

be filed with the Court and served at least forty-five (45) days before the date first set for the

Final Approval Hearing.

III. THE COURT APPROVES THE FORM AND METHOD OF CLASS NOTICE

1. The Court approves, as to form and content, the proposed Notice of Class Action

Settlement (the "Class Notice"), which forms are attached as Exhibits 4 and 5 to the Settlement

Agreement.

2. The Court finds that the distribution of Class Notice substantially in the manner

and form set forth in ~~15-16 ofthis Order and the Settlement Agreement meet the requirements

of Federal Rules of Civil Procedure Rule 23 and due process, is the best notice practicable under

the circumstances, and shall constitute due and sufficient notice to all persons entitled thereto.

5


3. The Court approves the designation ofKCC LLC to serve as the Court-appointed

Settlement Administrator for the Settlement. The Settlement Administrator shall disseminate

Class Notice and supervise and carry out the Class Notice procedure, the payment of Cash

Refund awards, and other administrative functions, and shall respond to Settlement Class

Member inquiries, as set forth in the Settlement Agreement and this Order under the direction

and supervision ofthe Court.

4. Within thirty (30) days of this Order, the Settlement Administrator shall establish

a Settlement Website, making available copies ofthis Order, the Third Amended Class Action

Complaint, Class Notice, the Settlement Agreement and all Exhibits thereto, frequently asked

questions, a toll-free hotline, and such other information as may be of assistance to Settlement

Class Members or required under the Settlement Agreement.

5. Within thirty (30) days of this Order, the Settlement Administrator is ordered to

disseminate the Class Notice as provided for in the Settlement Agreement.

6. The costs of the Class Notice, processing and mailing Settlement Class Member

cash awards, creating and maintaining the Settlement Website, and all other Settlement

Administrator and Notice and Claim Administration Expenses shall be paid by P&G.

IV. PROCEDURE FOR REQUESTING EXCLUSION FROM THE SETTLEMENT CLASS

I. Any person falling within the definition of the Settlement Class may, upon his or

her request, be excluded from the Settlement Class. Any such person must submit a completed

Request for Exclusion to the Clerk of the Court postmarked or delivered no later than 30 days

before the date first set for the Final Approval Hearing (the "Opt-Out Date"), as set forth in the

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Settlement Agreement and Class Notice. The Request for Exclusion must be personally signed

by the Settlement Class Member requesting exclusion and contain a statement that indicates a

desire to be excluded from the Settlement Class. Requests for exclusion purportedly filed on

behalf of groups of persons are prohibited and will be deemed to be void.

2. All persons who submit valid and timely Requests for Exclusion shall have no

rights under the Settlement Agreement and shall not be bound by the Settlement Agreement or

the Final Judgment and Order Approving Settlement.

3. Any Settlement Class Member who does not send a completed, signed request for

exclusion to the Clerk of the Court postmarked or delivered on or before the Opt-Out Date will

be deemed to be a Settlement Class Member for all purposes and will be bound by all further

orders of the Court in this Action and by the terms of the Settlement, if finally approved by the

Court.

4. The Settlement Administrator shall provide copies of any requests for exclusion

to Class Counsel and Defendant's Counsel as provided in the Settlement Agreement. A list

reflecting all timely Requests for Exclusions shall be filed with the Court by Defendant at or

before the Final Approval Hearing.

V. PROCEDURE FOR OBJECTING TO THE SETTLEMENT

1. Any Settlement Class Member who desires to object either to the Settlement

Agreement, the award of Attorneys' Fees and Expenses, or the service awards for the Class

Representatives must timely file with the Clerk of this Court and timely serve on the Parties'

respective counsel identified below by hand or first-class mail a notice of the objection(s) and

proof of membership in the Settlement Class and the grounds for such objections, together with

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all papers that the Class Member desires to submit to the Court no later than thirty (30) days

before the date first set for the Final Approval Hearing (the "Objection Date"). The Court will

consider such objection(s) and papers only if such papers are received on or before the Objection

Date provided in the Class Notice by the Clerk of the Court and by Class Counsel and

Defendant's counsel. Such papers must be sent to each of the following persons:

Timothy G. Blood BLOOD HURST & O'REARDON, LLP 701 B Street, Suite 1700 San Diego, CA 92101 Telephone: 619/338-1100 [email protected]

D. Jeffrey Ireland FARUKI IRELAND COX RHINEHART & DUSING P.L.L. 201 E. Fifth Street, Suite 1420 Cincinnati, OH 45202 Telephone: 513/632-0310 djireland@ficlaw .com

Clerk of the Court United States District Court, Southern District of Ohio 100 East Fifth Street, Room 103 Cincinnati, OH 45202

2. All objections must include: (a) a heading which refers to the Action; (b) the

objector's name, address, telephone number and, if represented by counsel, the name, address,

and telephone number of his/her counsel; (c) a statement under oath that the objector is a

Settlement Class Member; (d) a statement whether the objector intends to appear at the Final

Approval Hearing, either in person or through counsel; (e) a statement ofthe objection and the

grounds supporting the objection; (f) copies of any papers, briefs, or other documents upon

which the objection is based; and (g) the objector's handwritten, dated signature (the signature of

8


objector's counsel, an electronic signature, and the annotation "/s" or similar annotation will not

suffice). Failure to comply with the requirements of this section shall waive and forfeit any and

all rights he or she may have to appear separately and/or to object, and shall be bound by all of

the terms ofthis Settlement Agreement and by all proceedings, orders and judgments, including,

but not limited to, the Release, in the Action.

3. All objections must be filed with the Clerk of the Court and served on the Parties'

counsel as set forth in paragraph 2 above no later than the Objection Date. Objections received

after the Objection Date will not be considered at the Final Approval Hearing.

4. Attendance at the Final Approval Hearing is not necessary; however, any

Settlement Class Member wishing to be heard orally with respect to approval of the settlement,

the application for an award of Attorneys' Fees and Expenses, or the application for the Class

Representatives' service awards, is required to provide written notice of their intention to appear

at the Final Approval Hearing. All written notices must be filed with the Clerk of the Court and

served on the Parties' counsel as set forth in paragraph 2 above no later than the Objection Date.

Settlement Class Members who do not oppose the Settlement Agreement, the application for an

award of Attorneys' Fees and Expenses, or the application for service awards need not take any

action to indicate their approval. A person's failure to submit a written objection in accordance

with the Objection Date and the procedure set forth in the Class Notice waives any right the

person may have to object to the settlement, the award of Attorneys' Fees and Expenses, or the

Class Representatives' service awards, or to appeal or seek other review of the Final Judgment

and Order Approving Settlement.

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VI. OTHER PROVISIONS

1. The deadlines set forth in this Order, including, but not limited to, adjourning the

Final Approval Hearing, may be extended by Order of the Court, for good cause shown, without

further notice to the Settlement Class Members - except that notice of any such extensions shall

be included on the Settlement Website. Settlement Class Members should check the Settlement

Website regularly for updates and further details regarding extensions of these deadlines.

2. Class Counsel and Defendant's Counsel are hereby authorized to use all

reasonable procedures in connection with approval and administration ofthe Settlement

Agreement that are not materially inconsistent with this Order or the Settlement Agreement,

including making, without further approval of the Court, minor changes to the Settlement

Agreement, to the form or content of the Class Notice or to any other exhibits that the Parties

jointly agree are reasonable or necessary.

3. This Court shall maintain continuing jurisdiction over these proceedings to assure

the effectuation thereof for the benefit of the Settlement Class.

IT IS SO ORDERED.

DATED: UNITED STATES DISTRICT JUDGE

1223164.1

10


EXHIBIT 2


IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF OHIO

WESTERN DIVISION (CINCINNATI)

DINO RIKOS, TRACEY BURNS, and LEO JARZEMBROWSKI, On Behalf of Themselves, All Others Similarly Situated and the General Public,

CASE NO. 1: 11-cv-226

(Judge Timothy S. Black)

Plaintiffs,

v.

THE PROCTER & GAMBLE COMPANY,

Defendant.

[PROPOSED] FINAL JUDGMENT AND ORDER APPROVING SETTLEMENT

This matter came on for hearing on ______ , 20 1_, at . The Court has

considered the Settlement Agreement filed on ___ ,, 2017 (the "Settlement Agreement"), and

the Preliminary Approval Order and Settlement Agreement are incorporated here by reference.

Notice of said hearing has been given in accordance with the Preliminary Approval Order, and

such notice was adequate and sufficient and in accordance with the Court's Preliminary

Approval Order; the represented Parties having appeared by their attorneys of record; an

opportunity to be heard having been given to all other persons desiring to be heard as provided in

the Notice; and having considered the terms of the proposed Settlement Agreement, a copy of

which has been submitted to the Court, and having reviewed and considered the applications of

Class Counsel for an award of attorneys' fees and expenses, and having considered all of the

submissions and arguments with respect to the Settlement Agreement:

IT IS HEREBY ADJUDGED AND DECREED THAT:

1


1. This Judgment incorporates herein and makes a part hereof, the Settlement

Agreement, including the Exhibits thereto, and incorporates by reference the definitions in the

Settlement Agreement, and all terms used herein shall have the same meanings as set forth in the

Settlement Agreement unless set forth differently herein.

2. The Court has jurisdiction over the subject matter of this Action and all Parties to

the Action, including all Settlement Class Members.

3. Pursuant to Federal Rules of Civil Procedure, Rule 23, for settlement purposes

only, the Court certifies the following Settlement Class:

4. All persons who purchased within the United States and its territories P&G's

Align, other than solely for purposes of resale, from March 1, 2009 to June 6, 2016. Excluded

from the Settlement Class are: (i) Defendant and its officers, directors, and employees; (ii) any

person who files a valid and timely Request for Exclusion; and (iii) judicial officers and their

immediate family members and associated court staff assigned to the case. Pursuant to Federal

Rules of Civil Procedure, Rule 23(c)(3), all such persons who satisfy the Settlement Class

definition above, except those Settlement Class Members who timely and validly excluded

themselves from the Settlement Class, are Settlement Class Members bound by this Judgment.

5. Pursuant to Federal Rules of Civil Procedure, Rule 23(a), the Court finds that the

Plaintiffs in the Action, Dino Rikos, Tracey Burns and Leo Jarzembowski, are members of the

Settlement Class, their claims are typical of the Settlement Class, and they fairly and adequately

protected the interests of the Settlement Class throughout the proceedings in the Action.

Accordingly, the Court hereby appoints Dino Rikos, Tracey Burns and Leo Jarzembowski as

Class Representatives for the Settlement Class.

6. The Court finds that the Settlement Class meets all requirements of Federal Rules

of Civil Procedure, Rule 23(a) and (b)(3) for certification ofthe class claims alleged in the Third

Amended Class Action Complaint, including: (a) numerosity; (b) commonality; (c) typicality; (d)

2


adequacy of the class representative and Class Counsel; (e) predominance of common questions

of fact and law among the Settlement Class; and (f) superiority.

7. Having considered the factors set forth in Federal Rules of Civil Procedure,

Rule 23(g)(l ), the Court finds that Class Counsel have fairly and adequately represented the

Settlement Class for purposes of entering into and implementing the settlement, and thus, hereby

appoints Class Counsel as counsel to represent the Settlement Class Members.

8. The list of persons excluded from the Settlement Class because they filed valid

requests for exclusion ("Opt-Outs") are identified in Exhibit _ of the Declaration of ___ _

Persons who filed timely, completed Opt-Outs are not bound by this Judgment or the terms of

the Settlement Agreement and may pursue their own individual remedies against Defendant.

However, such persons are not entitled to any rights or benefits provided to Settlement Class

Members by the terms of the Settlement Agreement.

9. The Court directed that Class Notice be given to Settlement Class Members

pursuant to the notice program proposed by the Parties and approved by the Court. In accordance

with the Court's Preliminary Approval Order and the Court-approved notice program, the

Settlement Administrator caused the Class Notice to be disseminated as ordered. The Class

Notice advised Settlement Class Members of the terms of the Settlement Agreement; the Final

Approval Hearing, and their right to appear at such hearing; their rights to remain in, or opt out

of, the Settlement Class and to object to the Settlement Agreement; procedures for exercising

such rights; and the binding effect of this Judgment, whether favorable or unfavorable, to the

Settlement Class.

10. The distribution of the Class Notice constituted the best notice practicable under

the circumstances, and fully satisfied the requirements of Federal Rules of Civil Procedure, Rule

23, the requirements of due process, 28 U.S.C. §1715, and any other applicable law.

11. Pursuant to Federal Rules of Civil Procedure, Rule 23( e )(2), the Court finds after

a hearing and based upon all submissions of the Parties and interested persons, the Settlement

Agreement proposed by the Parties is fair, reasonable, and adequate. In reaching this conclusion,

3


the Court considered the record in its entirety and heard the arguments of counsel for the Parties

and all other persons seeking to comment on the proposed Settlement Agreement. In addition,

the Court has considered a number of factors, including: (1) the complexity, expense, and likely

duration of the litigation; (2) the reaction of the Class Members to the Settlement Agreement; (3)

the stage ofthe proceedings and the amount of discovery completed; (4) the risks of establishing

liability; (5) the risks of establishing damages; (6) the risks of maintaining the class action

through the trial; (7) the ability of Defendant to withstand a greater judgment; and (8) the

reasonableness of the Cash Refunds, Injunctive Relief, and all Digestive Health Improvement

Contributions in light of the best possible recovery.

12. The terms and provisions of the Settlement Agreement are the product of lengthy,

arms-length negotiations conducted in good faith and with the assistance of an experienced

mediator, Antonio Piazza of Mediated Negotiations. Approval ofthe Settlement Agreement will

result in substantial savings of time, money and effort to the Court and the Parties, and will

further the interests of justice.

13. All Settlement Class Members who have not timely and validly filed opt-outs are

thus Settlement Class Members who are bound by this Judgment and by the terms of the

Settlement Agreement

14. Nothing in the Settlement Agreement, this Judgment, or the fact of the settlement

constitutes any admission by any of the Parties of any liability, wrongdoing or violation of law,

damages or lack thereof, or of the validity or invalidity of any claim or defense asserted in the

Action.

15. The Court has considered the submissions by the Parties and all other relevant

factors, including the result achieved and the efforts of Class Counsel in prosecuting the claims

on behalf of the Settlement Class. Plaintiffs Dino Rikos, Tracey Burns and Leo Jarzembowski

participated in the Action, acted to protect the Settlement Class, and assisted their counsel. The

efforts of Class Counsel have produced the Settlement Agreement entered into in good faith, and

which provides a fair, reasonable, adequate, and certain result for the Settlement Class. Class

4


Counsel have made application for an award of attorneys' fees and expenses in connection with

the prosecution of the Action on behalf of themselves and the other Plaintiffs' Counsel. The

combined total of the fee award and reimbursement of expenses requested is $4,500,000, which

the Court finds to be fair, reasonable, and adequate under the circumstances. The Court hereby

awards $4,500,000 as attorneys' fees and expenses. Class Counsel shall be responsible for

distributing and allocating the Attorneys' Fees and Expenses award to Plaintiffs' Counsel in their

sole discretion. Further, Plaintiffs Dino Rikos, Tracey Burns and Leo Jarzembowski are entitled

to a fair, reasonable and justified service award of $2,500, each, to be paid by Defendant.

16. The Court hereby dismisses with prejudice the Action, and all Released Claims

against each and all Released Persons, and without costs to any of the Parties as against the

others.

17. Without affecting the finality of this Judgment, the Court reserves jurisdiction

over the implementation, administration, and enforcement of this Judgment and the Settlement

Agreement, and all matters ancillary thereto.

18. The Court finding that no reason exists for delay in ordering final judgment

pursuant to Federal Rules of Civil Procedure, Rule 54(b ), the clerk is hereby directed to enter this

Judgment forthwith.

19. The Parties are hereby authorized without needing further approval from the

Court, to agree to and adopt such modifications and expansions of the Settlement Agreement,

including without limitation, the forms to be used in the claims process, which are consistent

with this Judgment and do not limit the rights of Settlement Class Members under the Settlement

Agreement

IT IS SO ORDERED.

UNITED STATES DISTRICT JUDGE

1223165.1

5


EXHIBIT 3


Rikos v. The Procter & Gamble Company Settlement Administrator c/o KCC LLC P.O. Box##### Louisville, KY #####-####

TBD

«Barcode» Postal Service: Please do not mark barcode

Claim#: TBD-<<ClaimlD»-«MailRec» «First 1 »«Last 1 » «Addr 1 » «Addr2» «City», «State» «Zip»

Settlement Claim Form

Must Be Postmarl{ed

No Later Than

___ ,2017

Rikos v. The Procter & Gamble Company United States District Court, Southern District of Ohio, Case No.: 1: 11-cv-00226

Have you purchased and used Align® probiotic supplements, but received no digestive relief or other digestive benefit? If so, you may be entitled to a refund as part of a class action settlement.

To be eligible to receive a cash refund from the class action settlement, you must complete and return this Claim Form postmarked no later than , 2017. You may also submit your Claim Form online, no later than __ , 2017, at

www.AlignSettlement.com.

First Name: Last Name:

11111111111 D I I I I I I I I I I I I IIJ Address:

011111111111111111111111111111

City: State: Zip:

I I I I I I I I I I I I I I I OJ I I I I I I

1


2

1. Complete the Information Below.

Number of packages of Align® purchased from March 1, 2009 through October 31, 2009: (may claim up to two)

[Below is an example of packaging available from March 1, 2009 through October 31, 2009]

Number of packages of Align® purchased from November 1, 2009 through June 6, 2016: (may claim one)

[Below are examples of packaging available from November 1, 2009 through June 6, 2016]

2. Sign the Claim Form. I declare under penalty of perjury that the information I have provided is true and correct.

____________________

Signature Date

Please submit the Claim Form online at www.AlignSettlement.com or return the Claim Form by mail to:

Rikos v. The Procter & Gamble Company Settlement Administrator c/o KCC LLC, P.O. Box #####, Louisville, KY #####-####


CLAIM FORM INSTRUCTIONS

To receive a cash refund, you must submit a Claim Form in the attached form either in paper or electronically at the Settlement Website at www.AlignSettlement.com.

REQUIREMENTS FOR FILING A CLAIM FORM

To receive your cash refund, please do the following:

I. You must truthfully and accurately complete all required portions of the attached Claim Form.

2. Sign this Claim Form under penalty of perjury that all information is true and accurate. If you submit a Claim Form electronically, your electronic signature and submission of the form is treated the same as if you signed the form in hard copy.

3. You may submit the Claim Form for:

a. Up to two packages of Align® purchased between March 1, 2009 and October 31,2009. Each package purchased within this time period has a cash refund value of $15.88; and/or

b. One package of Align® purchased between November 1, 2009 and June 6, 2016. This package has a cash refund value of$17.50.

c. The maximum cash refund amount you may receive is $49.26.

4. You have two options to complete and submit a Claim Form:

a. Submit the Claim Form electronically through the Settlement Website, located at www.Website.com. Upon completion of the online Claim Form, you will receive an acknowledgement that your claim has been submitted. If you submit a Claim Form electronically, your electronic signature and submission of the form shall conform to the requirements of the federal Electronic Signatures Act, 15 U.S.C. § 7001, et seq. and have the same force and effect as if you signed the form in hard copy.

b. You may MAIL the completed and signed Claim Form by First Class U.S. Mail, postage prepaid, postmarked no later than [F AH + 30], to:

Rikos v. The Procter & Gamble Company Settlement Administrator c/oKCC LLC

P.O. Box#####, Louisville, KY #####-####

5. Make sure you submit your claim before the Claim Deadline [F AH + 30], otherwise you will lose your right to receive a cash refund in this Settlement. So that you will have a record of the date of your mailing of the Claim Form and its receipt by the Settlement Administrator, you are advised to use (but are not required to use) certified mail, return receipt requested.

ACCURATE CLAIMS PROCESSING TAKES TIME; PLEASE BE PATIENT

Reminder Checklist:

I. Please sign the attached Claim Form.

2. Keep a copy of your Claim Form for your records.

3


3. If you desire an acknowledgement of receipt ofyour Claim Form, please complete the online Claim Form or mail this Claim Form via Certified Mail, Return Receipt Requested.

4. If you move or your name changes, please send your new address, new name or contact information to the Settlement Administrator via mail.

1220715.2

1223168.1

4


EXHIBIT 4


Legal Notice Have you purchased and used Align® probiotic supplements, but received no

digestive relief or other digestive benefit? If so, you may be entitled to a refund as part of a class action settlement.

What does this settlement involve? A settlement has been reached in a class action lawsuit against The Procter & Gamble Company ("P&G" or "Defendant") about the advertising ofP&G's Align® pro biotic supplement. P&G denies all of the claims in the lawsuit and any wrongdoing, and continues to stand behind its Align® product as an effective pro biotic. The Court has not decided the dispute. Instead, the parties agreed to a settlement.

Who is included? You're a "Settlement Class Member" if you purchased Align®, not for resale, within the United States or its territories from March 1, 2009 to June 6, 2016.

What does the settlement provide? Depending on when the purchases were made, a Settlement Class Member who submits a valid claim may receive a cash refund of up to $49.26, for up to a maximum of three Align® purchases. P&G agreed to pay up to $15 million in cash refunds. Settlement Class Members may submit a Claim Form for up to two packages of Align® purchased from March 1, 2009 through October 31, 2009 (a refund of $15.88 per package) and one package of Align® purchased from November 1, 2009 through June 6, 2016 (a refund of $17 .50). Actual refund amounts may be reduced on a proportionate basis based on the total amount of refunds claimed by all Settlement Class Members. In addition, P&G will refrain from making certain advertising claims for Align®.

P&G also will make Digestive Health Improvement Contributions ("DI-IIC") targeted to directly benefit the Class; namely, U.S. consumers who suffer from Irritable Bowel Syndrome ("IBS") or who regularly seek assistance and care for their digestive health. DHIC will be intellectual property, research or education grants, or product donations to research or educational institutions or programs working to improve digestive health.

Initially, P&G will contribute at least $5 million in DHIC. If eligible refund claims are below $10 million, P&G will contribute additional DHIC so the total aggregate contributions to the Class (including Cash Refunds and all DHIC) will reach $15 million. If the aggregate amount of eligible refund claims exceeds $15 million, each eligible Settlement Class Member's award shall be reduced on a pro rata basis to reach a total of $15 million and P&G will contribute, approximately dollar-for-dollar above $15,000,000, additional DHIC up to a maximum of $25,000,000 total value (including cash refunds and all DHIC) to the Settlement Class.

How do I get a payment? You must submit a valid Claim Form by [FAH + 30). Claim Forms may be submitted online at www.AlignSettlement.com, or printed from the website and mailed to the Settlement Administrator at the address on the Claim Form. Claim Forms are also available by sending an email to [email protected], calling 1-XXX-XXX-XX:XX, or by writing to the Settlement Administrator at [address]. Completed Claim Forms must be postmarked or submitted to the Settlement Administrator no later than [FAH + 30). All Claim Forms must be verified under penalty ofpe1jury.

Your other options. If you do nothing, your rights will be affected and you will not be able to receive a cash refund payment. If you don't want a payment and do not want to be legally bound by the settlement, you must exclude yourself by [FAH- 30). If you stay in the settlement (i.e., do not exclude yourself), you may object to it and notifY the Court that you or your lawyer intend to appear at the Court's final approval hearing. Objections are due [FAH-30). More information, including Settlement Agreement, is available at www.AlignSettlement.com.

The Court's hearing. The Court will hold a hearing in this case (Rikos v. The Procter & Gamble Co., No. 1:11-cv-00226) at_: __ .m. on [date) at the Potter Stewart U.S. Courthouse, Room 815, 100 East Fifth Street, Cincinnati, Ohio 45202. At the hearing, the Court will decide whether to approve the settlement, Class Counsel's request for attorneys' fees and expenses of up to $4,500,000, and $2,500 service awards to each ofthe three Class Representatives. You may appear at the hearing, but don't have to. The hearing date may be changed by the Court. Check www.AiignSettlement.com for updates.

1223169.1

1-XXX-XXX-XXXX www.AI ignSettlement.com


EXHIBIT 5


UNITED STATES DISTRICT COURT-SOUTHERN DISTRICT OF OHIO

Have you purchased and used Align® probiotic supplements, but received no digestive relief or other

digestive benefit? If so, you may be entitled to a refund as part of a class action settlement.

A federal court authorized this Notice. It is not a solicitation from a lawyer.

• A settlement has been reached in a class action lawsuit against The Procter & Gamble Company ("P&G" or "Defendant") about the advertising and marketing ofP&G's Align® probiotic supplements ("Align®"). P&G denies all of the claims in the lawsuit and any wrongdoing. P&G continues to stand behind its Align® product as an effective probiotic.

• P&G has agreed to settle the lawsuit and provide cash refunds to customers who purchased Align®. Eligible Settlement Class Members may receive cash refunds up to $49.26.

• You are included in this settlement as a Settlement Class Member if you purchased Align® from March 1, 2009 through June 6, 2016.

• Your rights are affected whether you act or do not act. Read this Notice carefully.

YOUR LEGAL RIGHTS AND OPTIONS IN TIDS SETTLEMENT

This is the only way you can receive a cash refund from this SUBMIT A CLAIM FORM settlement. If you submit a Claim Form, you will give up the right to DEADLINE: (FAH + 30] sue P&G in a separate lawsuit about the legal claims this settlement

resolves.

This is the only option that allows you to sue, continue to sue, or be ASK TO BE EXCLUDED part of another lawsuit against P&G related to the legal claims this DEADLINE: (FAH-30] settlement resolves. However, you will give up the right to submit a

request for a cash refund from this settlement.

OBJECT TO THE If you do not exclude yourself from the settlement, you may object SETTLEMENT to it by writing to the Court about why you do not like the

DEADLINE: (FAH- 30] settlement.

Go TO A HEARING You may object to the fairness of the settlement and ask the Court

ON [DATE] for permission to speak at the Final Approval Hearing about your objection.

You will not get to submit a request for a cash refund from this

Do NoTHING settlement and you will give up the right to sue, continue to sue, or be part of another lawsuit against P&G about the legal claims resolved by this settlement.

• These rights and options-and the deadlines to exercise them-are explained in this Notice.

QUESTIONS? CALL 1-XXX-XXX-XXXX TOLL-FREE OR VISIT WWW.ALIGNSETTLEMENT.COM

Do NOT FORGET TO SUBMIT THE CLAIM FORM BEFORE [FAH +30]


• The Court in charge of this case still has to decide whether to approve the settlement.

QUESTIONS? CALL 1-XXX-XXX-XXXX TOLL-FREE OR VISIT WWW.ALIGNSETILEMENT.COM

Do NOT FORGET TO SUBMIT THE CLAIM FORM BEFORE [FAH +30] - 2"


WHAT THIS NOTICE CONTAINS

BASIC INFORMATION ......................................................................................................................................... .PAGE# 1. Why was this Notice issued? 2. What is this lawsuit about? 3. What is a class action? 4. Why is there a settlement?

WHO IS INCLUDED IN THE SETTLEMENT .......................................................................................................... PAGE# 5. How do I know whether I am part of the settlement? 6. Are there exceptions to being included? 7. What ifl am still not sure whether I am part of the settlement?

THE SETTLEMENT BENEFITS-WHAT You GET IF YOU QUALIFY ............................................................... PAGE# 8. What does the settlement provide? 9. How much will my cash refund be?

HOW TO GET A CASH REFUND-SUBMITTING A CLAIM FORM .................................................................... PAGE# 10. How do I get a cash refund from the settlement? 11. When would I get my cash refund? 12. What rights am I giving up to get a cash refund and stay in the Settlement Class? 13. Who and What are the Released Parties and the Released Claims?

THE LAWYERS REPRESENTING You ................................................................................................................. PAGE# 14. Do I have a lawyer in this case? 15. How will the lawyers be paid?

EXCLUDING YOURSELF FROM THE SETTLEMENT ........................................................................................... .PAGE# 16. How do I get out of the settlement? 17. Ifl exclude myself, can I still get a cash refund from this settlement? 18. Ifl do not exclude myself, can I sue P&G or the Released Parties for the same legal claims later?

OBJECTING TO THE SETTLEMENT ..................................................................................................................... PAGE# 19. How do I tell the Court that I do not like the settlement? 20. May I come to Court to speak about my objection? 21. What is the difference between objecting to the settlement and asking to be excluded from it?

THE COURT'S FINAL APPROVAL HEARING ...................................................................................................... PAGE# 22. When and where will the Court decide whether to approve the settlement? 23. Do I have to come to the hearing? 24. May I speak at the hearing?

IF YOU DO NOTHING .......................................................................................................................................... PAGE# 25. What happens ifl do nothing at all?

GETTING MORE INFORMATION ......................................................................................................................... PAGE# 26. How do I get more information?


DO NOT FORGET To SUBMIT THE CLAIM FORM BEFORE [FAH +30) ~ :> -


BASIC INFORMATION

A court authorized this Notice because you have a right to know about the proposed settlement of this class action lawsuit and about all of your options before the Court decides whether to grant final approval of the settlement. This Notice explains the lawsuit, the settlement, your legal rights, what benefits are available, and who can get them.

Judge Timothy S. Black of the United States District Court for the Southern District of Ohio in Cincinnati is overseeing this class action. The case is known as Rikos v. The Procter & Gamble Company, Case No. 1: 11-cv-00226. The proposed settlement resolves the legal claims in this lawsuit and Rikos v. The Procter & Gamble Company, Case No. 27-2011-00099818-CU-BT-CTL (San Diego Cty. Sup. Ct.). The people who filed this lawsuit are called the "Plaintiffs" and the company they sued, P&G, is called the "Defendant."

This lawsuit claims that Defendant falsely advertised the digestive health benefits of its Align® probiotic supplements. P&G denies all of the allegations made in the lawsuit, and denies any wrongdoing. P&G continues to stand behind its Align® product as an effective probiotic.

I 3. Whatis.a cbissacti()n?: . I In a class action, one or more people called Class Representatives (in this case, Dino Rikos, Tracey Burns, and Leo Jarzembrowski) sue on behalf of all other people with similar claims. Together, the people included in the class action are called a Class or Class Members. One court resolves the issues for all Class Members, except for those who exclude themselves from the Class.

The Court did not decide in favor of the Plaintiffs or the Defendant. Instead, both parties agreed to a settlement. This way, they avoid the cost and burden of a trial and the people affected can get benefits. The Class Representatives and their attorneys think the settlement is best for all Class Members.

WHO IS INCLUDED IN THE SETTLEMENT

The settlement includes all persons who purchased Align® within the United States and its territories, other than solely for purposes of resale, from March 1, 2009 to June 6, 2016 ("Settlement Class").

Yes. The settlement does not include: (1) Defendant and its officers, directors, and employees; (2) any person who files a valid and timely Request for Exclusion; and (3) judicial officers and their immediate family members and associated court staff assigned to the case.

1·7; whatiflalfi ~tilhi&t~llPe:wh~the:t-.t•:amlliirt 9f:tlle settte:meiit? \.,<.· · ··. · · , •.. >> 1

If you are not sure whether you are included, call 1-XXX-XXX-XXXX, go to www.AlignSettlement.com or write to one of the lawyers listed in Question_ below.


DO NOT FORGET To SUBMIT THE CLAIM FORM BEFORE [FAH +30) ~ ~ ~


THE SETTLEMENT BENEFITS-WHAT You GET IF You QUALIFY

P&G has agreed to provide cash refunds for eligible purchases of Align®. Total refund amounts will vary depending on the number of Align® packages purchased, and the time period in which the purchase occurred. Question 9 below provides more information on how these cash refunds will be calculated.

In addition to these cash refunds, P&G will make Digestive Health Improvement Contributions ("DHIC"). The DHIC will be targeted to benefit directly the Settlement Class; namely, U.S. consumers who suffer from Irritable Bowel Syndrome ("IBS") or who regularly seek assistance and care for their digestive health. P&G will provide the Guaranteed DHIC in the form of: (1) intellectual property and/or know-how; (2) research or education grants; or (3) product donations to research or educational institutions or programs working to improve digestive health.

P&G will make guaranteed, up-front DHIC worth $5 million. Intellectual property will be valued by a qualified independent appraiser. If the amount of eligible refund claims is below $10 million, then P&G will contribute additional DHIC so that the total aggregate contributions to the Settlement Class (including Cash Refunds and all DHIC) shall reach $15,000,000. For example, if eligible Cash Refund Claims total $9,000,000, then P&G will contribute $1,000,000 worth of additional DHIC. If the aggregate amount of eligible refund claims exceeds $15 million, each eligible Settlement Class Member's award shall be reduced on a pro rata basis to reach a total of $15 million and P&G will contribute, approximately dollar-for-dollar above $15,000,000, additional DHIC up to a maximum of $25,000,000 total value (including cash refunds and all DHIC) to the Settlement Class.

P&G has also agreed to refrain from making the "clinically proven" five symptom relief claims, which appeared on the Align® packaging from approximately March 1, 2009 through October 31, 2009, absent new supporting clinical data and/or analysis, or a change in product formula.

Cash refund amounts will vary based on the total number of packages of Align® you purchased and when you purchased them. The maximum refund amount you can receive is $49.26. All Claim Forms must be verified under penalty of perjury.

You may file a Claim Form for:

• Up to two packages of Align® purchased from March 1, 2009 through October 31, 2009. Each package has a refund value of$15.88 (50% ofthe average retail price of Align® during this time period).

• One package of Align® purchased from November 1, 2009 through June 6, 2016. Each package has a refund value of$17.50 (50% of the average retail price of Align® during this time period).

Final cash refund amounts will depend on the total amount of cash refunds claimed.

HOW TO GET A CASH REFUN)}-SUBMITTING A CLAIM FORM

I You must complete and submit a Claim Form by [FAH + 30]. Completed Claim Forms may be submitted online at the Settlement Website (www.AlignSettlement.com) or printed from the Settlement Website or Class Counsel's website (www.bholaw.com) and mailed to the Settlement Administrator at the address on the Claim Form. Claim Forms are also available by sending an email to [email protected], calling 1-XXXXXX-XXXX or by writing to the Rikos v. The Procter & Gamble Company Settlement Administrator at [address].

To be eligible for a cash refund, Claim Forms must be completed, signed, and postmarked or submitted to the Settlement Administrator by [FAH + 30].

The Court will hold a hearing on [Final Approval Hearing date] to decide whether to grant final approval to the QUESTIONS? CAlli-XXX-XXX-XXXX TOll-FREE OR VISIT WWW.AUGNSETTLEMENT.COM

DO NOT FORGET To SUBMIT THE CLAIM FORM BEFORE [FAH +30]


settlement. If the Court approves the settlement, there may be appeals. It is always uncertain whether appeals will be filed and, if so, how long it will take to resolve them. Cash refunds will be distributed as soon as possible, only if and when the Court grants final approval to the settlement and after any appeals are resolved. Please be patient.

1·12; Wh~triglHs itm?lgi\rliig•up th get it' cash ,reru.ua:a:uasfiyin th~S¢tttemenf(:l!tass'f.,~ .:,< • i: :>····. · •· · ··. ··· , ·····1 Unless you exclude yourself, you are a part of the Settlement Class. If the settlement is approved and becomes final, all of the Court's orders will apply to you and legally bind you. You will not be able to sue, continue to sue, or be part of any other lawsuit against the P&G and the Released Parties (see next question) about the legal issues resolved by this settlement. The rights you are giving up are called Released Claims.

I13;.Wbafafetb~'Rel'easeilPartiesandtbeR.etea$ed''Ciaiiiis?\·c·· ·· ····· · < '<' .•s • ····< · ····1

If and when the settlement becomes final, Settlement Class Members will permanently release P&G and its parents, subsidiaries, divisions, departments, and affiliates, and any and all of its past and present officers, directors, employees, stockholders, agents, successors, attorneys, insurers, representatives, licensees, licensors, subrogees, and assigns (the "Released Parties") from all claims (with the exception of claims for personal injury), demands, actions, suits, and/or causes of action that have been brought or could have been brought, are currently pending or were pending, or are ever brought in the future, by any Settlement Class Member against P&G or any Released Party, in any forum in the United States and its territories, whether known or unknown, asserted or unasserted, under or pursuant to any statute, regulation, common law or equity, that relate in any way, directly or indirectly, to facts, acts, events, transactions, occurrences, courses of conduct, representations, omissions, circumstances or other matters related to or referenced in any claim raised (including, but not limited to, any claim that was raised against any Released Party) in this lawsuit, including damages, costs, expenses, penalties, and attorneys' fees (the "Released Claims").

More detail about the claims you will be releasing are described in Section VIII of the Settlement Agreement, which is available at www.AlignSettlement.com, or in the public court records on file in this lawsuit. You can also talk to the lawyers listed in Question 14 below for free or you can, of course, talk to your own lawyer at your own expense if you have questions about the Released Claims or what they mean.

THE LA WYERS REPRESENTING YOU

Yes. Judge Black appointed Timothy Blood and Thomas J. O'Reardon II ofBlood Hurst & O'Reardon, LLP to represent you and other Settlement Class Members as "Class Counsel." This law firm and these lawyers are experienced in handling similar cases. You will not be charged for these lawyers. If you want to be represented by your own lawyer, you may hire one at your own expense. Class Counsel's contact information is below:

Timothy G. Blood Thomas J. O'Reardon II Blood Hurst & O'Reardon, LLP 701 B Street, Suite 1700 San Diego, CA 921 01 Tel: (619) 338-1100 Fax: (619) 338-1101 Email: [email protected] Website: www.bholaw.com

Class Counsel will ask the Court for an award of attorneys' fees and reimbursement of out-of-pocket expenses of up to $4,500,000. They will also ask the Court to approve $2,500 service awards to each of the three Class


Do NOT FORGET TO SUBMIT THE CLAIM FORM BEFORE [FAH +30] ._,E)"


Representatives: Dino Rikos, Tracey Burns, and Leo Jarzembrowski. The Court may award less than these amounts. Any amounts awarded by the Court, as well as the costs associated with administering the Settlement, will be paid separately by P&G and will not reduce the amount of cash refunds or other benefits available to Settlement Class Members. The purpose of the service awards, if any, is to compensate the Class Representatives for their efforts and risks taken on behalf of the Settlement Class.

EXCLUDING YOURSELF FROM THE SETTLEMENT

If you want to keep the right to sue or continue to sue P&G or the Released Parties about the legal claims in these lawsuits, and you do not want to receive a cash refund from this settlement, you must take steps to get out of the Settlement Class. This is called excluding yourself from, or opting out of, the settlement.

To exclude yourself from the Settlement Class, you must submit a written request for exclusion. Your request for exclusion must include: (1) your name; (2) your address; (3) a statement that you are a Settlement Class Member and wish to be excluded from Rikos v. The Procter & Gamble Company, Case No. 1:11-cv-00226; and (4) your signature. Your request for exclusion must be mailed to the Settlement Administrator at the address below, postmarked no later than [F AH - 30]:

Rikos v. The Procter & Gamble Company Settlement Administrator KCC, LLC [address]

[City], [ST] [ZIP]

No. If you exclude yourself, you are telling the Court that you do not want to be part ofthe Settlement Class in this settlement. You can only get a cash refund if you stay in the Settlement Class and submit a completed Claim Form, as described above.

I.J s.lti~61tot!~i.Hua~,jll~~lf1 cari'lsii~ 'r&G ol<'tlie .Ret~itsea.,rarlies lot the'silme\I~ga}elabnslat~r? ... ,. ,, No. Unless you exclude yourself, you are giving up the right to sue P&G and the Released Parties for the claims that this settlement resolves. You must exclude yourself from this Settlement Class to start or continue with your own lawsuit or be part of any other lawsuit against P&G or any of the Released Parties.

OBJECTING TO THE SETTLEMENT

You can tell the Court if you do not agree with the settlement or any part of it.

If you are a Settlement Class Member and do not request exclusion, you can object to the settlement if you do not like it or a portion of it. You can give reasons why you think the Court should not approve it. The Court will consider your views before making a decision. To object, you must prepare and sign a written objection stating that you object to the settlement in Rikos v. The Procter & Gamble Company. Your written objection must include: (1) a header identifying the case as Rikos v. The Procter & Gamble Company, Case No. 1:11-cv-00226; (2) your name, address, and phone number; (3) the name, address, and telephone number of your attorney, if you are represented by counsel; ( 4) a signed declaration stating that you are a Settlement Class Member; ( 5) all of the reasons why you object to the settlement, including any supporting documents and any legal support for the objection known by you or your attorney; (6) a statement indicating whether you or your attorney intend to appear at the Court's Final Approval Hearing; and (7) your handwritten, dated signature (electronic signatures or the signature of your attorney's signature will not be accepted). To be timely, you must mail your objection to all three addresses below, postmarked on or before [FAH- 30].

The Court Class Counsel P&G's Counsel


Do NOT FORGET TO SUBMIT THE CLAIM FORM BEFORE [FAH +30)

I


United States District Court Timothy Blood D. Jeffrey Ireland Southern District of Ohio Thomas J. O'Reardon II Erin E. Rhinehart Potter Stewart U.S. Courthouse BLOOD HURST & F ARUKI IRELAND COX 100 East Fifth Street O'REARDON, LLP RHINEHART & DUSING Cincinnati, OH 45202 701 B Street, Suite 1700 P.L.L.

San Diego, CA 921 01 201 E. Fifth Street, Suite 1420 Cincinnati, OH 45202

If your written objection is: (1) not signed; (2) missing the required information described above; or (3) not mailed to the Court, Class Counsel, and P&G's Counsel, postmarked on or before [FAH - 30], it will not be considered and you will give up your right to object to the settlement.

I2Q~May,J'eo.Ue"to¢outtros~~fi:K:ab~tlt;irt~'ol)i:e'~lion1 L!,;,r-·'······ · .··I

Yes. You or your attorney may speak at the Final Approval Hearing about your objection. To do so, you must include a statement in your objection indicating that you or your attorney intends to appear at the Final Approval Hearing, and follow the requirements included in the response to Question 24 below. Remember, your objection must be postmarked by [F AH - 30] and sent to all three addresses in Question 19.

1· 21. WhatJs the ditferenc~ betWeell (Jbjettiugt9t:tt~ settieO.eiltalid asruil~ to\l)e<e#ll~t:t:e(l:J~omiit~····· .. ·.... ··I

Objecting is simply telling the Court that you do not like something about the settlement. You can object only if you remain a Settlement Class Member (that is, do not exclude yourself). Excluding yourself is telling the Court that you do not want to be part of the settlement. If you exclude yourself, you cannot object because the settlement no longer affects you.

THE COURT'S FINAL APPROVAL HEARING

The Court will hold a hearing to decide whether to approve the settlement. You may attend and you may ask to speak, but you are not required to do so.

I 22; .When aud .. w..h¢re wm'.he:couhdecide:Whetlier to•appro'\re.the $ettleirtent? ··•· ···· I The Court will hold a Final Approval Hearing at_: __ .m. on [date] at the Potter Stewart U.S. Courthouse, Room 815, 100 East Fifth Street, Cincinnati, Ohio 45202. At this hearing, the Court will consider whether the settlement is fair, reasonable and adequate. It will also consider whether to approve Class Counsel's request for an award of attorneys' fees and expenses, as well as the Class Representative's service awards. If there are objections, the Court will consider them. Judge Black will listen to people who have asked to speak at the hearing (see Questions 20 and 24). After the hearing, the Court will decide whether to approve the settlement. We do not know how long these decisions will take.

The Court may change deadlines listed in this Notice without further notice to the Settlement Class. To keep up on any changes in the deadlines please contact Class Counsel or visit www.AlignSettlement.com.

No. Class Counsel will answer any questions Judge Black may have about the settlement. However, you are welcome to come to the hearing at your own expense. If you send an objection, you do not have to appear in court to talk about it. As long as you mailed your written objection on time, signed it and provided all of the required information (see Question 19), the Court will consider it. You may also pay your own lawyer to attend, but it is not necessary.

Yes. You may ask the Court for permission to speak at the Final Approval Hearing. If you properly submitted an objection (see Question 19 above), then you must also file a "Notice of Intention to Appear at the Final Approval Hearing in Rikos v. The Procter & Gamble Company" with the Court, and send a copy to Class Counsel and P&G's Counsel. Your Notice of Intention to Appear must include your name, address, phone


Do NOT FORGET TO SUBMIT THE CLAIM FORM BEFORE [FAH +30] . 8.


number, and signature. If you plan to have your own attorney speak for you at the Final Approval Hearing, then you must also include the name, address, and telephone number of the attorney who will appear on your behalf. Your Notice of Intention to Appear must be filed and postmarked on or before [FAH - 20].

IF You Do NOTHING

If you are Settlement Class Member and you do nothing, you will give up the rights explained in Question 12, including your right to start a lawsuit, continue with a lawsuit, or be part of any other lawsuit against P&G and the Released Parties about the legal issues resolved by this settlement. In addition, you will not be eligible to receive a cash refund.

GETTING MORE INFORMATION

This Notice summarizes the proposed settlement. Complete details are provided in the Settlement Agreement. The Settlement Agreement, Claim Form and other related documents are available at www.AlignSettlement.com. Additional information is also available by calling 1-XXX-XXX-XXXX or by writing to Rikos v. The Procter & Gamble Company Settlement Administrator, KCC, LLC[address]. Publiclyfiled documents can also be obtained by visiting the Potter Stewart U.S. Courthouse during business hours or accessing the Court's online docket via PACER. You can also contact Class Counsel or visit Class Counsel's website, www.bholaw.com for more information.

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PLEASE DO NOT CONTACT THE COURT, THE JUDGE, OR THE CLERK OF COURT'S OFFICE REGARDING THIS NOTICE


DO NOT FORGET To SUBMIT THE CLAIM FORM BEFORE [FAH +30] w 9"


EXHIBIT 6


EXHIBIT 6 DIGESTIVE HEALTH IMPROVEMENT CONTRIBUTIONS1

Overview

As provided in Sections II(A)(15) & (19); and IV(A)(1) & (3)-(6) ofthe Settlement Agreement, P&G has agreed to provide certain Digestive Health Improvement Contributions ("DHIC") to benefit the Settlement Class. P&G has agreed to provide DHIC in the form of: (1) intellectual property and/or know-how; and/or (2) research and/or education grant(s); and/or (3) product donations to research and/or educational institutions or programs working to improve digestive health. The Parties agree that the DHIC are tethered to the nature of, and certain issues in, the Action, and furthers the interests of the Settlement Class.

P&G shall have the sole discretion to select the recipients, form, and combination of the value provided, including any combination of ( 1) through (3) above, subject to prior review and approval by Class Counsel. Class Counsel shall not unreasonably withhold such approval; such approval may be withheld for good cause only. If Class Counsel and P&G's counsel cannot reach an agreement, then such disagreement shall be resolved by the Honorable Timothy S. Black, United States District Court Judge for the Southern District of Ohio (Cincinnati), which shall be final and binding.

$5 Million Guaranteed, Up-Front, Non-Reversionary DHIC

P&G has agreed to provide $5,000,000 of Guaranteed DHIC as a separate allocation from, and not in lieu of, Cash A wards to the Settlement Class.

Potential Recipients: Potential recipient(s) of the Guaranteed DHIC shall be state or federal agencies ofthe United States; United States college, university, or other higher education entities; non-governmental organizations ("NGO"); and/or professional or trade association(s). All recipients shall have a focus on, or commitment to, gastroenterological research, development, and/or patient care, and/or digestive health and wellness.

Intellectual Property That May Be Contributed: Certain patents and trade secrets ofP&G relating to research tools, coating technology, and/or method of use applications developed to further the use of probiotics in health and wellness.

Know-How: Digestive health experts from P&G may be engaged to assist with the development, research, and execution of any study or project that result from, or relate to, P&G's contribution of intellectual property and/or product. Such "know-how" shall valued at the reasonable cost of time spent by P&G personnel, but at no time shall it be valued greater than the actual cost to P&G.

1 Capitalized terms in this Exhibit shall have the same meaning as defined in the Settlement Agreement.

1


Additional DHIC

P&G has also agreed to provide Additional DHIC. If the amount of eligible Claims is below $10,000,000, then P&G shall contribute Additional DHIC so that the total aggregate contributions to the Settlement Class (including Cash Refunds and all DHIC) shall reach, but not exceed, $15,000,000. For example, if eligible Cash Refunds total $9,000,000, then P&G shall contribute $1,000,000 worth of Additional DHIC.

If the aggregate amount of eligible Claims exceeds $15,000,000, then P&G shall contribute, approximately dollar-for-dollar above $15,000,000, Additional DHIC up to a maximum of $25,000,000 total value (including Cash Refunds and all DHIC) to the Settlement Class. If the amount of eligible Cash Refunds is at or between $10,000,000 and $15,000,000, then P&G shall not be obligated to contribute any Additional DHIC.

The DHIC shall be separate and apart from any similar benefit P&G provides in the ordinary course of business or plans to provide at the time of execution of this Settlement Agreement. Within a reasonable period of time following the Effective Date, but in any event prior to the date on which the first Cash Refund payment is required to be made, P&G shall begin making the Guaranteed DHIC described in Section IV(A) of the Settlement Agreement. Distribution of the DHIC shall be completed within two (2) years of the Effective Date. The potential recipients, intellectual property, and know-how that may be contributed for the Additional DHIC shall be the same as for the Guaranteed DHIC.

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case: 1:11-cv-00226-tsb doc #: 166-2 filed: 09/29/17 … procter & gamble company, defendant....

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