Filed: 5/1/2017 5:00:41 PM Myla A. Eldridge Clerk Marion County, Indiana

Transcription

1 Filed: 5/1/2017 5:00:41 PM Myla A. Eldridge Clerk Marion County, Indiana

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3 Filed: 5/1/2017 5:00:41 PM Myla A. Eldridge Clerk Marion County, Indiana STATE OF INDIANA COUNTY OF MARION SS: IN THE MARION SUPERIOR COURT CIVIL DIVISION, ROOM NO. 11 CAUSE NO. 49D PL TAMMY RAAB, on behalf of herself and all others similarly situated, vs. Plaintiff, PETER L. LACY, in his official capacity as Commissioner of The Indiana Bureau of Motor Vehicles, and THE INDIANA BUREAU OF MOTOR VEHICLES, Defendants. CLASS ACTION SETTLEMENT AGREEMENT This Settlement Agreement ( Agreement is made and entered into by and among Peter L. Lacy, in his official capacity as Commissioner of The Indiana Bureau of Motor Vehicles, and The Indiana Bureau of Motor Vehicles ( BMV (collectively the Defendants, and Plaintiff Class Representative Tammy Raab ( Plaintiff or Class Representative, both individually and on behalf of the certified Plaintiff Class. In consideration of the covenants, agreements, and releases set forth herein and for other good and valuable consideration, it is agreed by and among the undersigned that the Action be settled, compromised, and dismissed on the merits, subject to the approval of the Court, on the following terms and conditions: A. Definitions The following terms, as used in this Agreement, have the following meanings: 1. Action means the above-captioned case, Raab v. Lacy and Indiana Bureau of Motor Vehicles, Marion Superior Court, Civil Division, Room No. 11, Cause No. 49D PL

4 2. BMV Transaction means any financial transaction between a Class Member and the BMV. 3. Plaintiff Class means the Plaintiff Class certified by the Court in its September 18, 2015 Order Granting Motion for Class Certification, as revised by the Court s April 22, 2016 Order Revising Class Definition, provided, however, that Plaintiff Class does not include those persons and entities who submitted a request for exclusion from the Plaintiff Class and who are identified in Exhibit D to the Declaration of Steven J. Powell on Behalf of Notice Administrator Regarding the Notice Program, filed as Exhibit 1 to the September 14, 2016 Report of Class Counsel Regarding Notice and Requests for Exclusion. 4. Class Counsel means the law firm of Cohen & Malad, LLP, One Indiana Square, Suite 1400, Indianapolis, Indiana. 5. Class Member means each member of the Plaintiff Class. 6. Class Period means the period from and including January 1, 2002 to and including December 31, Complaint means the Plaintiff s First Amended Class Action Complaint filed December 17, Court means the Marion Superior Court, Civil Division, Room No Fee Stipulation means the parties September 9, 2016 Stipulation Regarding Overcharge Amounts Not In Dispute, Undercharge Amounts Not In Dispute, and Fee Amounts In Dispute. 10. Overcharged Fees means the Overcharged Fees during the corresponding Overcharge Period identified in Table I of the Fee Stipulation, a copy of which is attached hereto as Exhibit A. 2

5 11. Overcharge Amount means, for each Overcharged Fee, the amount set forth in the column titled Overcharge Amount Claimed in Table I of the Fee Stipulation Refunds means the refunds made available by the BMV, beginning in September 2013, of the Overcharge Amount of some, but not all, of the Overcharged Fees Refunds means the refunds made available by the BMV, beginning in July 2016, of the Overcharge Amount of some, but not all, of the Overcharged Fees. 14. Remaining Refunds means refunds to Class Members for all Overcharge Amounts that have not been made available to Class Members as 2013 Refunds or 2016 Refunds. B. Settlement Terms 15. The BMV shall continue to make the 2016 Refunds available to Class Members through and until July 1, 2019, in substantially the same manner it has done so since initiating the 2016 Refunds, including as follows: (i Class Members may obtain their 2016 Refunds in the form of a check mailed by the BMV by completing a request form on a web page hosted on the BMV s website. For a Class Member who is a natural person, the form will require only that the Class Member provide their: (i current complete name; (ii complete name at the time the Overcharged Fee was collected by the BMV, if different; (iii current address; and (iv Operator s License number or Social Security Number. For a Class Member that is not a natural person, the form will require only that the Class Member provide their: (i current entity name; (ii entity name at the time the Overcharged Fee was collected by the BMV, if different; (iii entity address; and (iv Employer Identification Number. 3

6 (ii A link to the web page containing the request form will be prominently available on the BMV s home page. The link shall be in a similar size and style format as the button for Class Action Lawsuit Info currently along the right side of the BMV home page. (iii A check in the amount of all 2016 Refunds shall be issued to each Class Member who requests a check, and shall be mailed to the Class Member within 45 days from completion of the request form. (iv A Class Member who has not received their 2016 Refunds in the form of a check mailed by the BMV and who engages in a BMV Transaction will receive a credit, to be applied automatically to the transaction, in the amount of all 2016 Refunds owed to that Class Member. If the value of that Class Member s 2016 Refunds exceeds the total cost of the BMV Transaction, any remaining 2016 Refunds owed to that Class member after their BMV Transaction is credited will remain in the Class Member s account to be applied to their next BMV Transaction. 16. After July 1, 2019, any 2016 Refund that has not been claimed by a Class Member in the form of a refund check or applied to a BMV Transaction as a credit shall be transferred to the Indiana Unclaimed Property Fund under the Class Member s name, and shall be administered pursuant to the Indiana Unclaimed Property Act, Ind. Code et seq. 17. The Remaining Refunds shall be made available by the BMV to any Class Members who paid the corresponding Overcharge Amounts, as follows: (i From July 1, 2017 through and until July 1, 2019, Class Members may submit a claim for a Remaining Refund by completing a claim form, substantially in the form attached as Exhibit B, on a web page hosted on the BMV s website. 4

7 (ii A link to the web page containing the claim form will be prominently available on the BMV s home page. The link shall be in a similar size and style format as the button for Class Action Lawsuit Info currently along the right side of the BMV home page. (iii The claim form will include a list of all of the Overcharged Fees for which the Remaining Refunds are being offered and a means to state the number of times an Overcharged Fee was paid by the Class Member. (iv For a Class Member who is a natural person, the claim form will require that the Class Member provide his or her: (i current complete name; (ii complete name at the time the Overcharged Fee was collected by the BMV, if different; (iii current address; (iv an address and/or telephone number; and (v Operator s License number or Social Security Number. For a Class Member that is not a natural person, the claim form will require that the Class Member provide its: (i current entity name; (ii entity name at the time the Overcharged Fee was collected by the BMV, if different; (iii entity address; (iv address and/or telephone number for entity representative; and (v Employer Identification Number. (v The claim form will also require the Class Member to state either: (1 that they do not reside in Indiana and/or will not be engaging in a BMV Transaction in the following two years, or (2 that they do reside in Indiana or will be engaging in a BMV Transaction in the following two years. A Class Member who states that they do not reside in Indiana and/or will not be engaging in a BMV Transaction in the following two years may obtain their Remaining Refunds in the form of a 5

8 mailed check, to be mailed to the Class Member within 45 days after submission of a claim form. A Class Member who states that they do reside in Indiana or will be engaging in a BMV Transaction in the following two years will receive their Remaining Refunds in the form of a credit, to be applied automatically to any BMV Transaction undertaken by the Class Member 45 or more days after submission of a claim form. If the value of that Class Member s Remaining Refunds exceeds the total cost of the BMV Transaction, any Remaining Refunds owed to that Class member after their BMV Transaction is credited will remain in the Class Member s account to be applied to their next BMV Transaction. (vi Class Members will be required to electronically sign the claim form and affirm under penalties for perjury that the completed claim form is true and accurate. (vii The BMV will have the right to compare any Class Member s claim for Remaining Refunds against the documents, data, and records in its possession, and will pay each claim unless the claim form submitted is in material conflict with the documents, data, and records in its possession. The BMV shall process all claim forms in good faith. (viii If the BMV denies a Class Member s claim in whole or in part, the BMV shall provide the Class Member with notice of the denial, the basis for the denial and the opportunity to seek administrative review of the denial, all in forms that comply with Ind. Code et seq. of the Indiana Administrative Orders and Procedures Act, provided, however, that the initial notice of determination and the petition for review of an agency action may be made by electronic mail notwithstanding Ind. Code (c. 6

9 (ix Class Counsel will have no obligation to seek review of a denial of a claim on behalf of any Class Member or to represent any Class Member in proceedings seeking administrative or judicial review of a denial of a claim. However, Class Counsel shall have the right at all times to seek enforcement of this Agreement directly by the Court, including enforcement of the BMV s obligations with respect to the processing and payment of claims, regardless of whether any such claims are then the subject of a request for review under Paragraph 17(viii above. 18. Subject to Court approval, the BMV shall not object to, and shall pay to Class Counsel, $6,950,000 as attorneys fees. The BMV shall not take any actions to promote objections by Class Members or any other persons to Class Counsel s request for attorneys fees or the amount thereof. The BMV shall pay $3,500,000 of the attorneys fees to Class Counsel within fourteen days after the Court s preliminary approval of this Settlement. The BMV shall pay the balance remaining of the awarded attorneys fees to Class Counsel within fourteen days after the Court s final approval of this Settlement or July 1, 2017, whichever is later. 19. Subject to Court approval, the BMV shall not object to, and shall pay to the Plaintiff, $5,000 as a class representative fee within three days after the Court s preliminary approval of this Settlement. C. Compliance, Verification and Confirmatory Discovery 20. Class Counsel shall have the right to verify compliance with the terms of this Agreement by reasonable means, including the right to review any documents, data, or records relied upon by the BMV to deny a Class Member s claim for Remaining Refunds. The BMV shall have the right to object to Class Counsel s request for verification if the BMV believes Class Counsel s request is not relevant or is redundant, unduly burdensome, or unnecessary. 7

10 21. No later than July 8, 2017, the BMV shall serve on Class Counsel a signed affidavit or declaration affirming that as of July 1, 2017, the BMV has taken all steps necessary to comply with the Settlement Terms set forth above. 22. The BMV will make quarterly compliance reports to the Court by no later than the 7th day of January, April, July, and October, with copies served upon Class Counsel, until all 2016 Refunds have been issued to Class Members or transferred to the Indiana Unclaimed Property Fund and all claims for Remaining Refunds have been paid by the mailing of a check or the placement of a credit on a Class Member s account. The quarterly reports shall include the last monthly amounts and the total cumulative amounts, by Overcharged Fee, of: (i the 2016 Refunds sent to Class Members by mailed check; (ii the 2016 Refunds utilized by Class Members as a credit during a BMV Transaction; (iii the Remaining Refunds for which a claim has been submitted and payment has been made by the mailing of a check; (iv the Remaining Refunds for which a claim has been submitted and payment has been made by placement of a credit on the Class Member s account; and (iv the claims for Remaining Refunds that have been denied. For each claim for a Remaining Refund that is denied by the BMV and reported in a quarterly report, the BMV shall also state the basis for the denial. D. Approval of this Agreement and Dismissal of Claims 23. The parties shall use their best efforts to effectuate this Agreement, including cooperating in promptly seeking the Court s preliminary and final approval of the terms of the Agreement, and the Court s approval of procedures (including the giving of class notice under Ind. T.R. 23(D to secure the prompt, complete, and final dismissal of the Action as to the Defendants. 8

11 24. On or after May 1, 2017, Plaintiff shall submit to the Court a motion for preliminary approval of this Agreement with a proposed order thereon ( Preliminary Approval Order substantially in the form attached hereto as Exhibit E. The Motion shall: (i (ii Include a copy of this Agreement executed by the parties hereto; Request that the Court approve notice of the settlement to Class Members in the form attached hereto as Exhibit C, to be available no later than three days after preliminary approval in English and Spanish: (1 on the notice website previously identified in the , postcard and publication notices issued to the Plaintiff Class; (2 via a link on the BMV s website home page (in a similar size and style format as the button for Class Action Lawsuit Info currently along the right side of the BMV home page; and (3 via a link on Class Counsel s website home page; (iii Request that the Court approve an 8 ½ x 11 notice of the availability of a claims process for the Remaining Refunds, to be posted conspicuously in all BMV branches and other customer service locations beginning no later than July 1, 2017 and continuing until June 30, 2019, substantially in the form attached as Exhibit D ; and (iv Request that the Court schedule a hearing on final approval of this Agreement no sooner than 45 days after preliminary approval. 25. The Preliminary Approval Order shall provide that Settlement Class Members may object to the Settlement by filing with the Court and serving upon Class Counsel and counsel for the BMV written objections postmarked no later than 33 days after the date of the Preliminary Approval Order (the Objection Deadline, along with a notice of their intent, if any, to appear at the Final Approval Hearing, and accompanied by any arguments and evidence that the Class Member intends to offer in support of any such objection. 9

12 26. Plaintiff and the Defendants shall jointly seek entry of a Final Approval Order, in the form attached hereto and marked as Exhibit F that: (i (ii (iii As to the Action, approves finally this Agreement and its terms as being a fair, reasonable, and adequate settlement as to the Class Members within the meaning of Ind. T. R. 23, and directing its consummation according to its terms; Directs that, as to the Defendants, the Action be dismissed; and Reserves exclusive jurisdiction over this Agreement, including the administration and consummation of the terms of this Agreement. 27. Notwithstanding the foregoing, the Plaintiff and the Defendants shall each be bound by the terms of this Agreement as of the last date on which this Agreement is signed by a party hereto, and this Agreement shall not be rescinded except in accordance with Paragraph 31. E. Release and Discharge 28. For purposes of the release and discharge of claims: Releasees means, jointly and severally and individually and collectively, the BMV, and the Bureau of Motor Vehicle s Commission, and any other state agency affiliated with the BMV in connection with the setting, charging and/or collecting of fees, and Peter L. Lacy, in his capacity as Commissioner of the Indiana Bureau of Motor Vehicles, and their respective past and present officers, directors, employees, attorneys, servants, representatives, heirs, executors, administrators, guardians, successors and assigns; and Releasors means, jointly and severally and individually and collectively, the Class Members, Plaintiff Tammy Raab and Class Counsel, and their respective past and present officers, directors, employees, attorneys, servants, representatives, heirs, executors, administrators, guardians, successors and assigns; and Release Date means the first day on which the Court has entered a final judgment approving this Agreement and either: (i the time to appeal from the Court s final judgment approving this Agreement has expired and no appeal has been taken, or (ii if a timely appeal is taken, the date on which the final judgment is 10

13 no longer subject to further direct appellate review if the final judgment has not been reversed in any way. 29. In consideration of payment of the Settlement Amount, and for other valuable consideration, upon the Release Date the Releasees, and each of them, shall be completely released, acquitted, and forever discharged from any and all claims, demands, actions, suits and causes of action at law or in equity, pursuant to statute or otherwise, whether class, individual or otherwise in nature, that Releasors, or any of them, ever had, now has, or hereafter can, shall, or may have on account of, arising out of, resulting from, or in any way related to the collection or setting of any fee charged by the BMV, through the last day of the Class Period, including any conduct alleged (whether intentional, reckless or negligent and whether individual or collective, and causes of action asserted or that might have been asserted in the Complaint filed in the Action (the Released Claims. The Releasors shall not, after the Release Date of this Agreement, seek to recover against any of the Releasees for any of the Released Claims other than as provided in this Agreement. 30. For good and valuable consideration, upon the Release Date the Releasors, and each of them, shall be completely released, acquitted, and forever discharged from any and all claims, demands, actions, suits and causes of action at law or in equity, pursuant to statute or otherwise, whether class, individual or otherwise in nature, that Releasees, or any of them, ever had, now has, or hereafter can, shall, or may have on account of, arising out of, resulting from, or in any way related to the filing, prosecution and settlement of the Action, and they are each and all permanently enjoined and barred from instituting, asserting or prosecuting any and all such claims which the Releasees or their counsel or any of them, had, have or may in the future have against Releasors, arising out of, relating to or in connection with the Action. 11

14 F. Rescission if the Agreement is Not Finally Approved 31. If the Court refuses to approve this Agreement or any part hereof, or if such approval is modified or set aside on appeal, or of the Court requires the issuance of notice of this Agreement in a manner different than provided for in Paragraph 24, or if the Court does not enter a Final Approval Order substantially as provided for in Paragraph 26, or if the Court enters the Final Approval Order and appellate review is sought and, on such review, such Final Approval Order is not affirmed in its entirety, then the Plaintiff Class and Defendants shall each, in its or their sole discretion, and without incurring any liability to each other, have the option to rescind this Agreement in its entirety by doing so in writing within 10 days of each such event. If this Agreement is rescinded by either party the case shall return to its status as it existed immediately before the submission of the Agreement to the Court for preliminary approval, the foregoing releases shall be ineffective, and the Court shall have 90 days therefrom to rule on any pending matters. 32. The parties expressly reserve all of their rights if the Agreement does not become effective or if it is rescinded pursuant to Paragraph 31. Nothing contained in this Agreement or any notice or other exhibit to this Agreement, shall be construed in any way as an admission or evidence of any illegal conduct, fault, liability or wrongdoing of any kind by the Defendants. Further, the parties agree that this Agreement, whether or not it is finally approved and whether or not rescinded pursuant to Paragraph 31, and any and all negotiations, documents, and discussions associated with or exchanged in connection with it, shall not be deemed or construed to be an admission or evidence of any violation of any statute or law, or of any liability or wrongdoing by Defendants, or of the truth of any of the claims or allegations contained in the Complaint or any other pleading filed by Plaintiff in the Action. 12

15 G. Miscellaneous 33. The Court shall retain jurisdiction over the implementation, enforcement, and performance of this Agreement, and shall have exclusive jurisdiction over any suit, action, proceeding, or dispute arising out of or relating to this Agreement or the applicability of this Agreement. 34. This Agreement constitutes the entire agreement among the parties pertaining to the settlement of the Action and supersedes any and all prior and contemporaneous undertakings of the parties in connection therewith. This Agreement may be modified or amended only by a writing executed by Class Counsel and the Defendants and approved by the Court. 35. This Agreement may be executed in counterparts by the parties, and a scanned or electronic signature shall be deemed an original signature for purposes of executing this Agreement. 36. Neither party shall be considered to be the drafter of this Agreement or any of its provisions for the purpose of any statute, case law, or rule of interpretation or construction that would or might cause any provision to be construed against the drafter of this Agreement. 37. Each of the undersigned attorneys represents that he or she is fully authorized to enter into the terms and conditions of, and to execute, this Agreement, subject to Court approval. 38. This Agreement shall be interpreted and construed in accordance with the laws of the State of Indiana, and any dispute or claims arising under or related to the terms or provisions of this Agreement, whether styled in contract, tort or otherwise, shall be governed by the internal laws of the State of Indiana without reference to choice of law or conflict of law principles. IN WITNESS WHEREOF, the Parties have executed this Settlement Agreement as of the date(s set forth below. 13

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18 Raab v. Lacy and Indiana Bureau of Motor Vehicles Cause No. 49D PL EXHIBIT A Overcharged Fees

19 Raab v. Lacy and Indiana BMV Cause No. 49D PL Exhibit A Overcharged Fees Overcharged Fee Overcharge Period Overcharge Amount Claimed REGISTRATIONS New Passenger Vehicle Registrations January 1, 2002 through June 30, 2008 $1.00 New Passenger Vehicle Registrations July 1, 2008 through November 5, 2008 $0.70 New Passenger Vehicle Registrations July 1, 2012 through September 29, 2013 $0.70* Renewed Passenger Vehicle Registration January 1, 2002 through June 30, 2008 $1.00 Renewed Passenger Vehicle Registration July 1, 2008 through November 5, 2008 $0.70 New Motorcycle Registrations January 1, 2002 through June 30, 2007 $1.00 New Motorcycle Registrations August 15, 2007 through November 5, 2008 $1.00 New Motorcycle Registrations July 1, 2012 through September 29, 2013 $0.70* Renewed Motorcycle Registrations January 1, 2002 through June 30, 2007 $1.00 Renewed Motorcycle Registrations August 15, 2007 through November 5, 2008 $1.00 New Truck Registrations (Under 11,000 lbs. January 1, 2002 through November 5, 2008 $1.00 New Truck Registrations (Under 11,000 lbs. July 1, 2012 through September 29, 2013 $0.70* Renewed Truck Registrations (Under 11,000 lbs. January 1, 2002 through November 5, 2008 $1.00 New Truck Registrations (11,000 lbs. and Over January 1, 2002 through November 5, 2008 $1.00 New Truck Registrations (11,000 lbs. and Over July 1, 2012 through September 29, 2013 $1.00 Renewed Truck Registrations (11,000 lbs. and Over January 1, 2002 through November 5, 2008 $1.00 New Farm Truck Registrations (Over 11,000 lbs. January 1, 2002 through November 5, 2008 $1.00 New Farm Truck Registrations (Over 11,000 lbs. July 1, 2012 through September 29, 2013 $1.00 Renewed Farm Truck Registrations (Over 11,000 lbs. January 1, 2002 through November 5, 2008 $1.00 New Tractor Registrations January 1, 2002 through November 5, 2008 $1.00 New Tractor Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Tractor Registrations January 1, 2002 through November 5, 2008 $1.00 New Farm Tractor Registrations January 1, 2002 through November 5, 2008 $1.00 New Farm Tractor Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Farm Tractor Registrations January 1, 2002 through November 5, 2008 $1.00 New Trailer Registrations January 1, 2002 through November 5, 2008 $1.00 New Trailer Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Trailer Registrations January 1, 2002 through November 5, 2008 $1.00 New Farm Trailer Registrations January 1, 2002 through November 5, 2008 $1.00 New Farm Trailer Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Farm Trailer Registrations January 1, 2002 through November 5, 2008 $1.00 New Semi Trailer Registrations (1 Year January 1, 2002 through November 5, 2008 $1.00 New Semi Trailer Registrations (1 Year July 1, 2012 through September 29, 2013 $1.00 Renewed Semi Trailer Registrations (1 Year January 1, 2002 through November 5, 2008 $1.00 New Farm Semi Trailer Registrations (1 Year January 1, 2002 through November 5, 2008 $1.00 New Farm Semi Trailer Registrations (1 Year July 1, 2012 through September 29, 2013 $1.00 Renewed Farm Semi Trailer Registrations (1 Year January 1, 2002 through November 5, 2008 $1.00 New Semi Trailer Registrations (5 Year January 1, 2002 through November 5, 2008 $1.00 New Semi Trailer Registrations (5 Year July 1, 2012 through September 29, 2013 $1.00 Renewed Semi Trailer Registrations (5 Yr January 1, 2002 through November 5, 2008 $1.00 New Farm Semi Trailer Registrations (5 Year January 1, 2002 through November 5, 2008 $1.00 New Farm Semi Trailer Registrations (5 Year July 1, 2012 through September 29, 2013 $1.00 Renewed Farm Semi Trailer Registrations (5 Year January 1, 2002 through November 5, 2008 $1.00 Renwed Semi Trailer Registrations (Permanent July 1, 2007 through December 31, 2007 $1.00 Renewed Farm Semi Trailer Registrations (Permanent July 1, 2007 through December 31, 2007 $1.00 New Intercity Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New Intercity Bus Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Intercity Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New Intracity Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New Intracity Bus Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Intracity Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New Buses Not for Hire Registrations January 1, 2002 through November 5, 2008 $1.00 New Buses Not for Hire Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Buses Not for Hire Registrations January 1, 2002 through November 5, 2008 $1.00 New Church Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New Church Bus Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Church Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New School Bus Registrations January 1, 2002 through November 5, 2008 $1.00 New School Bus Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed School Bus Registrations January 1, 2002 through November 5, 2008 $1.00

20 Raab v. Lacy and Indiana BMV Cause No. 49D PL Exhibit A Overcharged Fees New Recovery Vehicle Registrations January 1, 2002 through November 5, 2008 $1.00 New Recovery Vehicle Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Recovery Vehicle Registrations January 1, 2002 through November 5, 2008 $1.00 New Recreational Vehicle Registrations January 1, 2002 through November 5, 2008 $1.00 New Recreational Vehicle Registrations July 1, 2012 through September 29, 2013 $1.00 Renewed Recreational Vehicle Registrations January 1, 2002 through November 5, 2008 $1.00 Special Machinery Registrations January 1, 2002 through November 5, 2008 $1.75* Special Machinery Registrations November 6, 2008 through June 30, 2012 $0.75* Special Machinery Registrations (New Only July 1, 2012 through September 29, 2013 $1.75* Special Machinery Registrations (Renew Only July 1, 2012 through September 29, 2013 $0.75* New Antique Passenger Vehicle Registrations January 1, 2002 through November 5, 2008 $4.00 New Antique Passenger Vehicle Registrations November 6, 2008 through June 30, 2012 $3.00 New Antique Passenger Vehicle Registrations July 1, 2012 through September 29, 2013 $4.00 New Antique Passenger Vehicle Registrations September 30, 2013 through December 31, 2014 $3.00 Renewed Antique Passenger Vehicle Registration January 1, 2002 through November 5, 2008 $4.00 Renewed Antique Passenger Vehicle Registration November 6, 2008 through December 31, 2014 $3.00 New Antique Motorcycle Registrations January 1, 2002 through November 5, 2008 $4.00 New Antique Motorcycle Registrations November 6, 2008 through June 30, 2012 $3.00 New Antique Motorcycle Registrations July 1, 2012 through September 29, 2013 $4.00 New Antique Motorcycle Registrations September 30, 2013 through December 31, 2014 $3.00 Renewed Antique Motorcycle Registrations January 1, 2002 through November 5, 2008 $4.00 Renewed Antique Motorcycle Registrations November 6, 2008 through December 31, 2014 $3.00 New Antique Truck Registrations January 1, 2002 through November 5, 2008 $4.00 New Antique Truck Registrations November 6, 2008 through December 31, 2008 $3.00 New Antique Truck Registrations January 1, 2009 through June 30, 2012 $4.00 New Antique Truck Registrations July 1, 2012 through September 29, 2013 $5.00 New Antique Truck Registrations September 30, 2013 through December 31, 2014 $4.00 Renewed Antique Truck Registrations January 1, 2002 through November 5, 2008 $4.00 Renewed Antique Truck Registrations November 6, 2008 through December 31, 2008 $3.00 Renewed Antique Truck Registrations January 1, 2009 through December 31, 2014 $4.00 CREDENTIALS Operator's License (3 Year January 1, 2002 through December 31, 2005 $0.50* Operator's License (4 Year January 1, 2002 through December 31, 2005 $0.50* Operator's License (6 Year January 1, 2006 through March 6, 2007 $6.50* Public Passenger Chauffeur's License January 1, 2002 through December 31, 2007 $0.50 Motorcycle Operator's License (3 Year January 1, 2002 through December 31, 2005 $1.00 Motorcycle Operator's License (4 Year January 1, 2002 through December 31, 2005 $1.00 Motorcycle Operator's License (6 Year January 1, 2006 through December 31, 2008 $7.00 Chauffeur's License (6 Year January 1, 2002 through June 30, 2005 $0.50 Chauffeur's License (6 Year January 1, 2006 through November 5, 2008 $5.50 Chauffeur's License (6 Year November 6, 2008 through September 29, 2013 $4.50 Motorcycle Endorsement on Operator's License (4 Year January 1, 2002 through December 31, 2005 $0.50 Motorcycle Endorsement on Operator's License (5 Year March 26, 2012 through September 29, 2013 $0.50 Motorcycle Endorsement on Operator's License (6 Year January 1, 2006 through November 5, 2008 $4.00 Motorcycle Endorsement on Operator's License (6 Year November 6, 2008 through September 29, 2013 $3.00 Motorcycle Endorsement on Chauffeur's License January 1, 2002 through December 31, 2005 $0.50 Motorcycle Endorsement on Chauffeur's License January 1, 2006 through November 5, 2008 $4.00 Motorcycle Endorsement on Chauffeur's License November 6, 2008 through September 29, 2013 $3.00 Motorcycle Endorsement on Public Passenger Chauffeur's License January 1, 2002 through December 31, 2005 $0.50 Motorcycle Endorsement on Public Passenger Chauffeur's License January 1, 2006 through November 5, 2008 $2.50 Motorcycle Endorsement on Public Passenger Chauffeur's License November 6, 2008 through September 29, 2013 $1.50 Commercial Driver's License January 1, 2002 through November 5, 2008 $5.00 Upgrade Commercial Driver's License July 1, 2012 through September 29, 2013 $1.00 Amend / Replace Commercial Driver's License January 1, 2002 through November 5, 2008 $15.50 Amend / Replace Commercial Driver's License November 6, 2008 through June 27, 2013 $14.50 Amend / Replace Commercial Driver's License June 28, 2013 through September 29, 2013 $4.50 Learner's Permit January 1, 2002 through November 5, 2008 $0.50 Motorcycle Learner's Permit January 1, 2002 through November 5, 2008 $0.50 I.D. January 1, 2002 through December 31, 2005 $0.50 I.D. January 1, 2006 through November 5, 2008 $2.50 I.D. November 6, 2008 through September 29, 2013 $1.50 Duplicate / Amended I.D. January 1, 2002 through December 31, 2005 $0.50 Duplicate / Amended I.D. January 1, 2006 through November 5, 2008 $2.50 Duplicate / Amended I.D. November 6, 2008 through September 29, 2013 $1.50

21 Raab v. Lacy and Indiana BMV Cause No. 49D PL Exhibit A Overcharged Fees Special I.D January 1, 2002 through December 31, 2005 $0.50 Special I.D January 1, 2006 through November 5, 2008 $2.00 Special I.D November 6, 2008 through September 29, 2013 $1.00 Duplicate / Amended Special I.D. January 1, 2002 through December 31, 2005 $0.50 Duplicate / Amended Special I.D. January 1, 2006 through November 5, 2008 $2.00 Duplicate / Amended Special I.D. November 6, 2008 through September 29, 2013 $1.00 TITLES Duplicate January 1, 2002 through September 29, 2013 $1.00 MVIN (Special ID January 1, 2002 through September 29, 2013 $1.00 Salvage January 1, 2002 through June 27, 2013 $5.00 Delinquent Fee January 1, 2002 through November 5, 2008 $1.00 Administrative Fee January 1, 2002 through September 29, 2013 $5.00 PLATE FEES Plate Transfer January 1, 2002 through September 29, 2013 $1.00 Antique Year of Manufacture January 1, 2008 through September 29, 2013 $11.00 Personalize Plate January 1, 2002 through September 29, 2013 $3.00 Amateur Radio Plate January 1, 2002 through December 31, 2005 $1.00 WATERCRAFT TITLES Titles January 1, 2002 through November 5, 2008 $0.50 Repossessions January 1, 2002 through November 5, 2008 $0.50 Corrections January 1, 2002 through November 5, 2008 $0.50 Duplicates January 1, 2002 through November 5, 2008 $0.50

22 Raab v. Lacy and Indiana Bureau of Motor Vehicles Cause No. 49D PL EXHIBIT B Claim Form for Remaining Refunds

23 1 of 3 DIRECTIONS To submit a claim for a credit or refund from the Indiana Bureau of Motor Vehicles ("BMV" for any of the fees below that you paid between 2002 and 2006, please follow these steps: 1. Provide your name and contact information in the Personal Information section below. 2. Indicate whether or not you anticipate doing future business with the Indiana BMV. 3. For each fee that you claim you paid to the Indiana BMV between 2002 and 2006, locate the fee within the list and select the number of times you paid the fee in each year between 2002 and Make selections for all fees that you claim you paid. For example, if you paid for two New Passenger Vehicle Registrations in 2003, and one Renewed Passenger Vehicle Registration in 2004, 2005, and 2006, you would select "2" from the dropdown list under 2003 in the row for New Passenger Vehicle Registrations, leave all other years in that row at "0", and select "1" underneath the years 2004, 2005, and 2006 in the row for Renewed Passenger Vehicle Registrations. 4. Review the verification at the bottom of this page and electronically sign by typing your name in the box below the verification. Then, press submit. By submitting this form, you are affirming, under the penalties for perjury, that you have paid the BMV the fees you selected and that the information you have provided is correct. PERSONAL INFORMATION Name Individual Business/Organization Last/Business name: First name: Middle name: Different name at time of transaction: Identification SSN or Driver's License No. (individuals or EIN (business/organization: Address Street: City: State: Zip: Telephone & Telephone: Future Business with the BMV I plan to do business with the Indiana BMV in the next two years. (Applies to most Indiana residents. I am not an Indiana resident or do not plan to do business with the Indiana BMV in the next two years.

24 2 of 3 FEES CLAIMED Registration Fees Passenger Vehicle Registrations (New & Renew - Both $1.00 Motorcycle Registrations (New & Renew - Both $1.00 Light Truck Registrations <11,000lbs. (New & Renew - Both $1.00 Heavy Truck Registrations >11,000lbs. (New & Renew Including Farm - All $1.00 Tractor Registrations (New & Renew Including Farm - All $1.00 Trailer Registrations (New & Renew Including Farm - All $1.00 Semi Trailer Registrations (New & Renew Including Farm - 1yr & 5yr - All $1.00 Bus Registrations (New & Renew - All $1.00 Recovery Vehicle Registrations (New & Renew - All $1.00 RV Registrations (New & Renew - All $1.00 Special Machinery Registrations (New & Renew - All $1.75 Antique Passenger, Motorcycle & Truck Registrations (New & Renew - All $4.00 Credentials Fees Operator's License 3 and 4 yr , 2003, 2004, All $0.50 Operator's License 6 yr through March 6, All $6.50 Public Passenger Chauffeur's License - All $0.50 Motorcycle Operator's License 3 and 4 yr. - All $1.00 Motorcycle Operator's License 6 yr. - All $7.00 Chauffeur's License 6 yr , 2003, 2004 & 2005 ($ Chauffeur's License 6 yr ($5.50 Motorcycle Endorsement on Operator's License 4 yr - All $0.50 Motorcycle Endorsement on Operator's License 6yr - All $4.00 Motorcycle Endorsement on Chauffeur's License , 2003, 2004 & 2005 ($0.50 Motorcycle Endorsement on Chauffeur's License ($4.00 Motorcycle Endorsement on Public Passenger Chauffeur's License , 2003, 2004 & 2005 ($0.50 Motorcycle Endorsement on Public Pasenger Chauffeur's License ($2.50 Commercial Driver's License (CDL - All $5.00 Amend/Replace Commercial Driver's License - All $15.50 Learner's Permit Including Motorcycle Learner's Permit - All $0.50 Identification Card Including Duplicate and/or Amend , 2003, 2004 & 2005 ($0.50 Identification Card Including Duplicate and/or Amend ($2.50 Special Identification Card Including Duplicate and/or Amend , 2003, 2004 & 2005 ($0.50 Special Identification Card Including Duplicate and/or Amend ($2.00 Titles Watercraft Titles Including New, Repossessions, Corrections & Duplicates - All $0.50 Duplicate Titles & MVIN (Special ID Titles - All $1.00 Salvage Titles - All $5.00 Delinquent Fee - All $1.00 Plate Fees Plate Transfer Fee - All $1.00 Personalize Plate Fee - All $3.00 Amateur Radio Plate Fee - All $1.00 Administrative Fee - All $5.00

25 3 of 3 VERIFICATION I affirm, under the penalties for perjury, that I, or the business or organization I represent, paid the fees selected above, in the numbers and years indicated above, to the Indiana Bureau of Motor Vehicles. If this claim form is submitted on behalf of a business or organization, I affirm that I am authorized to represent and submit this claim form on behalf of that business or organization. 1 Excluding the period between July 1, 2005 and January 1, 2006.

26 Raab v. Lacy and Indiana Bureau of Motor Vehicles Cause No. 49D PL EXHIBIT C Settlement Notice

27 Tammy Raab v. Peter L. Lacy and The Indiana Bureau of Motor Vehicles The Marion County, Indiana Superior Court, Room No. 11 Cause No. 49D PL NOTICE OF CLASS ACTION SETTLEMENT If you paid one or more fees to the Indiana Bureau of Motor Vehicles for certain transactions since January 1, 2002, you may be entitled to comment on or receive payments from a settlement. This is not a lawsuit against you and you are not being sued. In the case of Tammy Raab v. Peter L. Lacy and The Indiana Bureau of Motor Vehicles (the Lawsuit, filed in the Marion County, Indiana, Superior Court (the Court, the Plaintiff has alleged that since January 1, 2002, the Indiana Bureau of Motor Vehicles (the BMV has charged Indiana residents more than is allowed by law for certain transactions. On September 18, 2015, the Court certified a Plaintiff Class in the Lawsuit that includes all persons and entities that paid to the Indiana Bureau of Motor Vehicles one or more of the fees that the Plaintiff alleges were overcharges. Notice was previously issued to members of the certified Class and the deadline for Class members to request exclusion has now passed. The purpose of this Notice is to advise members of the Plaintiff Class of a proposed Settlement, and how to assert any rights you may have under the Settlement. It is also intended to advise you of a hearing to consider the proposed settlement on. The Court must decide whether to approve the Settlement as fair, just and reasonable. If you are a member of the Settlement Class, your legal rights are affected whether you act or choose not to act. Please read this Notice carefully. YOUR LEGAL RIGHTS AND OPTIONS: DO NOTHING If you choose to do nothing you will remain eligible to receive any payments from the Settlement that are approved by the Court. This will result in a release of any right you may have to pursue the legal claims brought, or which could have been brought in this case, against the BMV. DEADLINE N/A OBJECT GO TO A HEARING You may write to the Court if you do not think the Settlement is fair. If you object, you may also ask to speak in Court about the fairness of the Settlement. M/D/Y M/D/Y 2

28 FILE A CLAIM If the Settlement is approved by the Court, you will be able to file a Claim Form online at www. between July 1, 2017 and June 30, 2019, to claim refunds for overcharges collected by the BMV between January 1, 2002 and mid July 1, 2019 WHAT THIS NOTICE CONTAINS NOTICE CONTAINS BASIC INFORMATION What is the purpose of this Notice? 2. What is this Lawsuit about? 3. What is a class action? 4. Why is there a Settlement? 5. How do I know if I am part of the Settlement? THE SETTLEMENT TERMS What payments does the Settlement provide? 7. How are the 2016 Refunds distributed under the Settlement? 8. How are the Remaining Refunds distributed under the Settlement? 9. When will the Settlement be final? PARTICIPATING IN THE SETTLEMENT How do I participate in the Settlement? 11. Do I have to give anything up to participate? COMMENTING ON THE SETTLEMENT How do I tell the Court that I do not think the Settlement is fair? 13. Can I have a lawyer represent me? PAGE PAGE PAGE PAGE THE LAWYERS REPRESENTING YOU... PAGE 14. How will the lawyers and costs be paid? THE COURT S FAIRNESS HEARING... PAGE 15. When and where will the Court decide whether to approve the Settlement? 16. Do I have to come to the hearing? 17. May I show up and speak at the hearing? GETTING MORE INFORMATION... PAGE 18. Are more details available? 3

29 1. What is the purpose of this notice? BASIC INFORMATION This Notice explains the Lawsuit, the terms of the Settlement, your legal rights, what benefits may be available, who may be eligible for them, and what you will be giving the Defendants in this Settlement. Judge John F. Hanley of the Marion County, Indiana, Superior Court is overseeing this class action and the Settlement. The lawsuit is known as Raab v. Lacy and The Indiana Bureau of Motor Vehicles, Cause No. 49D PL The individual who sued is called the Plaintiff. Those the Plaintiff sued are called the Defendants. 2. What is this lawsuit about? The Lawsuit says that since 2002 the BMV has overcharged Indiana residents who have paid one or more fees for certain transactions, and that these overcharges should be returned to the people and entities who paid them. You can read the Plaintiff s First Amended Class Action Complaint at 3. What is a class action? A class action is a lawsuit in which one or more persons called class representatives sue on behalf of other persons who have similar claims. Together all these persons are a class or individually, class members. One court resolves the issues for all class members, except for those who previously excluded themselves from the class. For this reason, the judge must find that the Settlement of this class action is fair, just, and adequate for all Class members before the Settlement can receive final Court approval. 4. Why is there a Settlement? The Court has not decided the claims in the case. Instead, the Plaintiff and Defendants agreed to settle to avoid the uncertainty of a decision following trial and the risks, delay, and cost of an appeal. The Settlement provides the opportunity for payments or other benefits to be made available to Class members and for the Defendants to receive a release of any right Class members may have to pursue the same legal claims brought in this case against the Defendants. 5. How do I know if I am part of the Settlement? If you are a member of the Plaintiff Class certified by the Court on September 18, 2015 then you are included in the Settlement. The Class includes all persons or entities that paid certain fees between from 2002 through The Class definition, including the list of fees and corresponding date ranges, can be found in the Notice of Class Certification, which is available at 4

30 If you excluded yourself from the Plaintiff Class earlier in this case, you are still excluded from the Class and from this Settlement. THE SETTLEMENT TERMS 6. What payments does the Settlement provide? The BMV has agreed to refund to Class Members the Overcharge Amount for each of the Overcharged Fees listed on the table below, which were collected by the BMV between January 1, 2002 and December 31, Some of the refunds were made available to Class members beginning in The Settlement provides that the rest of the refunds will also be made available to Class members. The refunds that are the subject of the Settlement fall into two categories: The 2016 Refunds and the Remaining Refunds. The 2016 Refunds are refunds of Overcharge Amounts that the BMV began making available in Generally, the 2016 Refunds are for Overcharged Fees the BMV collected between mid and the end of The Remaining Refunds are refunds of Overcharge Amounts that the BMV has not yet made available. Generally, the Remaining Refunds are for Overcharged Fees the BMV collected between the beginning of 2002 and mid How are the 2016 Refunds distributed under the Settlement? Under the Settlement, the BMV will make the 2016 Refunds available to Class members through July 1, A Class Member may obtain their 2016 Refunds in the form of a check mailed by the BMV by completing a request form on a web page hosted on the BMV s website. A link to the web page hosting the request form will be located on the BMV s home page. Upon completion of a request form, a check in the amount of all 2016 Refunds owed shall be mailed to the Class Member within 45 days. Any Class Member who engages in a transaction with the BMV and who has not already received their 2016 Refunds in the form of a check mailed by the BMV will receive a credit, applied automatically to the transaction, in the amount of all 2016 Refunds owed to them. After July 1, 2019, any 2016 Refund that has not been claimed by a Class Member in the form of a refund check or applied to a BMV transaction as a credit will be transferred to the Indiana Unclaimed Property Fund under the Class Member s name, and will be administered pursuant to the Indiana Unclaimed Property Act, Ind. Code et seq. 8. How are the Remaining Refunds distributed under the Settlement? 5

31 Under the Settlement, the BMV will also make the Remaining Refunds available to Class members through July 1, 2019, but Class Members must complete a claim form on the BMV s website. The claim form on the BMV s website will include a list of all of the Overcharged Fees for which the Remaining Refunds are being offered, a means to mark which of the Overcharged Fees were paid by the Class Member, and a means to state the number of times an Overcharged Fee was paid by the Class Member. The claim form will require the Class Member to state either: (1 that they do not reside in Indiana and/or will not be engaging in a BMV Transaction in the following two years, or (2 that they do reside in Indiana or will be engaging in a BMV Transaction in the following two years. A Class Member who states that they do not reside in Indiana and/or will not be engaging in a BMV Transaction in the following two years will be eligible to request their Remaining Refunds in the form of a mailed check, to be mailed to the Class Member within 45 days after submission of a qualifying claim form. A Class Member who states that they do reside in Indiana or will be engaging in a BMV Transaction in the following two years will be required to receive their Remaining Refunds in the form of a credit, to be applied automatically to any BMV Transaction under taken by the Class Member 45 or more days after submission of a qualifying claim form. Class Members will be required to electronically sign the claim form and affirm under the penalties for perjury that the completed claim form is true and correct. The BMV will have the right to seek to compare any Class Member s claim for Remaining Refunds against the documents, data and records in its possession, but will pay all claims that are not inconsistent with the documents, data and records in its possession and are properly completed, signed and affirmed. 9. When will the Settlement be final? The Court will hold a hearing on to decide whether to give final approval to the Settlement. If the Court approves the Settlement and there are no appeals, the Settlement will become final thirty (30 days after the Court s approval. PARTICIPATING IN THE SETTLEMENT 10. How do I participate in the Settlement? If you are entitled to receive any of the 2016 Refunds, you may simply engage in a transaction with the BMV at any time before July 1, 2019 and receive the refunds as a credit. You may also request a check for the 2016 Refunds by completing a request form on the BMV s website. After July 1, 2019, the 2016 Refunds will be available from the Indiana Unclaimed Property Fund. If you are entitled to any of the Remaining Refunds, you must complete a claim form on the BMV s website before July, The requirements of the claim form are described in paragraph 8 above. 6