Case 1:15-cv-01980-GHW Document 94-1 Filed 08/02/16 Page 2 ... · Lemke, Melissa Mota, and Kristine...

Case 1:15-cv-01980-GHW Document 94-1 Filed 08/02/16 Page 2 of 24

Exhibit B


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UNITED STATES DISTRICT COURT

FOR THE SOUTHERN DISTRICT OF NEW YORK

SUSAN ORR et al.,

PLAINTIFFS,

Case No. 15-CV-1980 (GHW)

-- against --

NOVARTIS CORPORATION and

ALCON LABORATORIES, INC.,

DEFENDANTS.

NOTICE OF PENDENCY OF PROPOSED CLASS ACTION AND

COLLECTIVE ACTION SETTLEMENT

TO: All women who are or were employees of ALCON LABORATORIES, INC. who held any

DIRECTOR-LEVEL, MANAGER-LEVEL, SPECIALIST/ ANALYST-LEVEL, or SALES

POSITION (as defined in this Notice) in the United States for at least one month from March 17,

2012 through November 12, 2015, excluding individuals who previously released their claims.

This Notice provides notice of a pending gender discrimination class action and collective action lawsuit,

describes a proposed settlement of this case (the “Settlement”), identifies the Settlement Classes and Collectives

certified by the Court (the “Settlement Classes”), and explains your legal rights, including what benefits are

available, who is eligible for them, and how to get them.

PLEASE READ THIS NOTICE CAREFULLY AND IN ITS ENTIRETY.

YOU MAY BE ENTITLED TO RECEIVE MONEY FROM THE SETTLEMENT.

THIS SETTLEMENT MAY AFFECT YOUR RIGHTS.

SUMMARY OF INFORMATION PROVIDED IN THIS NOTICE

1. Overview of This Lawsuit .................................................................................................................... 2

2. Who Is Eligible to Participate in the Settlement? ............................................................................ 2

3. Why Did I Receive This Notice? (This Includes Data that Alcon Provided about Your Employment.) 4

4. How Will the Settlement Fund Be Distributed? .................................................................................... 4 5. What Are My Legal Rights and Options in This Settlement, and

What Are the Important Deadlines for This Settlement? ................................................................5 6. How Will My Settlement Award Be Calculated? ..................................................................................6

7. How Will My Settlement Award Be Reported for Tax Purposes? .........................................................6

8. What Claims Am I Releasing as Part of This Settlement? .....................................................................6

9. Do I Have a Lawyer in This Case? ........................................................................................................7

10. How Will The Lawyers Be Paid?...........................................................................................................7

11. Will Certain Plaintiffs Receive Any Additional Award for Bringing and Litigating This Case on

Behalf of the Settlement Class Members? ......................................................................................7

12. When and Where Will The Court Decide Whether to Approve the Settlement? ....................................8

13. How Can I Find Out More Information about the Settlement? ..............................................................8


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1. Overview of This Lawsuit

This case alleges that Alcon Laboratories, Inc. (“Alcon”) and Novartis Corporation (collectively, “Defendants”)

engaged in gender-based discrimination in pay, promotion, and assignments to jobs, compensation grades, and

compensation bands against female employees who held Director-Level, Manager-Level, Specialist/Analyst-

Level, or Sales Positions at Alcon in the United States for at least one month from March 17, 2012 through

November 12, 2015. Defendants deny these allegations.

The lawsuit is known as Orr et al. v. Novartis Corporation and Alcon Laboratories, Inc., Case No. 1:15-cv-

01980-GHW, and is pending in the United States District Court for the Southern District of New York (“Civil

Action”). The case is brought as a class action and collective action lawsuit. There are thirteen plaintiffs who

have brought this case on behalf of the Settlement Classes and Collectives described in Section 2 of this Notice

and serve as Class Representatives and Collective Action Representatives on behalf of these Settlement Classes

and Collectives. The Class Representatives and Collective Action Representatives are represented by the law

firm of Sanford Heisler, LLP (“Class Counsel”).

In order to resolve the difference between the parties and avoid the risks and uncertainties of future litigation,

the Class Representatives, Collective Action Representatives, and Defendants have agreed to settle the class

action and collective action claims in this case, subject to the approval of the Court. The Settlement requires

Alcon to pay a Total Settlement Amount of $8 million to settle these class action and collective action claims.

Based on all the facts and circumstances, the Class Representatives, Collective Action Representatives, and

Class Counsel have concluded that the terms of the proposed Settlement are fair, reasonable, adequate, and in

the best interests of the Settlement Classes. In reaching this conclusion, Class Counsel has analyzed the benefits

of the Settlement and the risk of an unfavorable outcome, as well as the expense and length of continued

proceedings necessary to prosecute this action.

Defendants deny any liability or wrongdoing of any kind associated with the claims alleged in this lawsuit, and

this Settlement is in no way an admission by Defendants that they engaged in any unlawful behavior. Defendants

maintain that they have acted lawfully at all times. Defendants have agreed to these Settlement terms because

they wish to avoid further costly, disruptive, and time-consuming litigation, and desire to obtain complete and

final settlement of the claims of the Settlement Class Members.

2. Who Is Eligible to Participate in the Settlement?

This case involves four Classes of female employees at Alcon: the Director Class, the Manager Class, the

Specialist/Analyst Class, and the Sales Class. This case also involves four Collectives of female employees

at Alcon: the Director Collective, the Manager Collective, the Specialist/Analyst Collective, and the Sales

Collective. It is possible to be a member of more than one Class and more than one Collective.

1. The Director Class and the Director Collective consist of all female employees who held a Director-

Level Position at Alcon in the United States for at least one month from March 17, 2012 through

November 12, 2015, excluding individuals who entered into individual agreements with Alcon prior to

[Preliminary Approval Date] that released the Class Claims and did not contain an exception permitting

participation in this Settlement. Director-Level Positions include, but are not limited to: Assistant

Director, Associate Director, Director, Assistant Head, Associate Head, Head (excluding Vice

Presidents), Lead (when used as a noun), Global Director, U.S. Director, and Executive Director. The

Class Representatives for the Director Class are Susan Orr, Katerina Dodbiba, and Leslie Lemke. The

Collective Action Representatives for the Director Collective are Susan Orr, Katerina Dodbiba, Leslie

Lemke, Melissa Mota, and Kristine Steely.


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2. The Manager Class and the Manager Collective consist of all female employees who held a Manager-

Level Position at Alcon in the United States for at least one month from March 17, 2012 through

November 12, 2015, excluding individuals who entered into individual agreements with Alcon prior to

[Preliminary Approval Date] that released the Class Claims and did not contain an exception permitting

participation in this Settlement. Manager-Level Positions are non-Sales positions that include, but are

not limited to: Manager (excluding General Manager), Brand Manager, Product Manager, Finance

Manager, Financial Planning Manager, Project Manager, Project Quality Manager, Quality Assurance

Manager, Staffing Manager, Manager of Health Services and Fitness, Organizational Performance

Manager, Manager of US Exports and Accounting, Manager of Global Labeling, Manager of Global

Design, Global Labeling and Packaging Engineering Manager, Manager of Global Trade Compliance,

Integrity and Compliance Monitoring Manager, Integrity and Compliance Policy Manager, BPA and

Analysis Supporting NIBR and Chemical Research Manager, Meetings Manager, Manager of Global

Public Relations and Communications, HR Manager, HR Regional Manager, HR Business Solutions

Manager, Training Manager, and Operations Manager. Manager-Level Positions include versions of the

foregoing titles with the terms “Global,” U.S.,” “Junior,” “Senior,” Associate,” “II,” and/or “III”

appended. The Class Representative for the Manager Class, and the Collective Action Representative

for the Manager Collective, is Melinda Konczal.

3. The Specialist/Analyst Class and the Specialist/Analyst Collective consist of all female employees

who held a Specialist/Analyst-Level Position at Alcon in the United States at any time for at least one

month from March 17, 2012 through November 12, 2015, excluding individuals who entered into

individual agreements with Alcon prior to [Preliminary Approval Date] that released the Class Claims

and did not contain an exception permitting participation in this Settlement. Specialist/Analyst-Level

Positions include, but are not limited to: Talent Acquisition Specialist, Talent Management Specialist,

Recruitment Specialist, Leader Development Specialist, HR Specialist, HR Business Partner, Business

Excellence Process and Policy Specialist, Information Specialist, Logistics Analyst, Trade Compliance

Analyst, Compliance and Reporting Specialist, Accounts Payable Specialist, Accounts Payable

Coordinator, Expense Report Specialist, T&E Analyst, Documentation Analyst, Financial Systems

Analyst, Financial Analyst, Planning Analyst, Tax Analyst, Sales and Use Tax Specialist, Cost Analyst,

Accountant, Compensation Analyst, BPA Analyst, Senior BPA, Internal Control Analyst, MTO

Performance Management Analyst, Project Coordinator, Traffic Coordinator, Training Specialist,

Conference and Events Planner, Communications Specialist, Licensing Analyst, Scientist, Information

Scientist, Engineer, Safety Specialist, Animal Care Specialist, Technologist, Project Toxicologist,

Technical Specialist, and Regulatory Analyst. Specialist/Analyst-Level Positions include versions of

the foregoing titles with the terms “Global,” U.S.,” “Junior,” “Senior,” Associate,” “II,” and/or “III”

appended. The Class Representatives for the Specialist/Analyst Class are Jessicah McGaffie and

Kathryn Hoffman. The Collective Action Representatives for the Specialist/Analyst Collective are

Jessicah McGaffie, Kathryn Hoffman, and Ann-Marie Hammond.

4. The Sales Class and the Sales Collective consist of all female employees who held a Sales Position at

Alcon in the United States for at least one month from March 17, 2012 through November 12, 2015,

excluding individuals who entered into individual agreements with Alcon prior to [Preliminary

Approval Date] that released the Class Claims and did not contain an exception permitting participation

in this Settlement. Sales Positions include, but are not limited to: Medical Sales Representative, Medical

Device Sales Representative, Ocular Surface Representative, Vision Care Sales Representative,

Glaucoma Specialty Sales Representative, Glaucoma Account Manager, Allergy and Otolaryngology

Representative, Specialty Sales Representative, Surgical Hospital Account Manager, Group Hospital

Accounts Manager, Hospital Account Manager, Cataract Account Manager, Cataract Refractive

Manager, Cataract Equipment Manager, Cataract Sales Division Manager, Laser Refractive Manager,

Key Account Manager, Refractive Sales Division Manager, Refractive Equipment Manager, Refractive

Account Manager, Vitreoretinal Sales Division Manager, and Vitreoretinal Manager. Sales Positions


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include versions of the foregoing titles with the terms “Global,” U.S.,” “Junior,” “Senior,” Associate,”

“II,” and/or “III” appended. The Class Representatives for the Sales Class, and the Collective Action

Representatives for the Sales Collective, are Caroline Bucci, Anya Gau, Gina Giuriceo, and Jennifer

Maynard.

3. Why Did I Receive This Notice?

You have received this Notice because Alcon’s payroll records indicate that you, [NAME], were employed in

the following Director-Level, Manager-Level, Specialist/Analyst-Level, and/or Sales Positions at Alcon in the

United States for at least one month from March 17, 2012 through November 12, 2015, and therefore are a

Settlement Class Member of the following Settlement Class[es] and Collective[s] in the proposed Settlement of

this lawsuit:

[TITLE] from DATE to DATE, corresponding to the [TYPE] Class.

[TITLE] from DATE to DATE, corresponding to the [TYPE] Class.

Alcon’s records indicate that when you held [this/these] position[s] during the period from March 17, 2012

through November 12, 2015, you received the following regular earnings, short-term incentive compensation,

and long-term incentive compensation:

In [YEAR], your regular earnings were [$XX] per year, and for your work that year you

received [$XX] in short-term incentive compensation and long-term incentive compensation

valued at [$XX] as of its grant date.

In [YEAR], your regular earnings were [$XX] per year, and for your work that year you

received no short-term incentive compensation and no long-term incentive compensation.

4. How Will the Settlement Fund Be Distributed?

Alcon will pay a Total Settlement Amount of $8 million.

The Total Settlement Amount includes funds to pay attorneys’ fees and expenses to Class Counsel, Service

Payments to the Class Representatives and Collective Action Representatives, and the fees and costs of

settlement administration to the Claims Administrator. These payments are subject to Court approval; if the

Court awards payments that are lower than the amounts requested, the difference will be paid to non-profit

organizations selected by Class Counsel.

After attorneys’ fees, expenses, service payments, and settlement administration costs have been paid from the

Total Settlement Amount, the remaining funds (known as the “Class Monetary Awards Settlement Fund”) will

be paid to the Settlement Class Members as follows: (1) 85% of the Class Monetary Awards Settlement Fund

will be reserved to make Base Payments to Settlement Class Members, and (2) 15% of the Class Monetary

Awards Settlement Fund will be reserved to make Supplemental Payments to Settlement Class Members.

All Settlement Class Members will automatically receive a Base Payment without having to take any action

whatsoever. In addition, Settlement Class Members will be eligible to receive a Supplemental Payment if they

allege that, at any time from March 17, 2012, through November 12, 2015, they were discriminated against

based on their gender in seeking a promotion or in assignment to a job, compensation grade, and/or compensation

band and if they take the affirmative steps described in Section 5 below.


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5. What Are My Legal Rights and Options in This Settlement, and What Are the Important

Deadlines for This Settlement?

To Remain a Settlement Class Member and Receive a Base Payment: You do not have to do anything.

All Settlement Class Members are automatically entitled to a Base Payment. If you do nothing, you will remain

part of the Settlement, you will receive a Base Payment check, and you will be bound by the terms of the

Settlement. You must cash your Base Payment check within 6 months after it is issued or it will become void.

To Be Eligible for a Supplemental Payment for Alleged Gender Discrimination in Promotions or in

Assignments: To be eligible to receive a Supplemental Payment (in addition to your Base Payment), you must

complete the attached Notice of Intent to Submit Claim Form and send it to the Claims Administrator with a

postmark of no later than [30 days after Notice is mailed]. In addition, after the Court grants final approval of

the Settlement, you must submit a timely, complete, and responsive Claim Form alleging that you were

discriminated against on account of your gender in promotion or in assignment to a job, compensation grade, or

compensation band. After the Court grants final approval of the Settlement, a copy of that Claim Form, along

with instructions and deadlines for completing the form, will be mailed to the Settlement Class Members who

timely submitted their Notices of Intent to Submit Claim Form. If you receive a Supplemental Payment check,

you must cash the check within 6 months after it is issued or it will become void.

To Correct Inaccurate Information about Your Employment at Alcon: Section 3 of this Notice contains

information that Alcon provided about your employment. This includes the job titles in the Settlement Classes

that you held from March 17, 2012 through November 12, 2015, the dates when you held each job title from

March 17, 2012 through November 12, 2015, the Class to which each job title corresponds, and the compensation

you received from March 17, 2012 through November 12, 2015. If you believe that any of the information

provided by Alcon is inaccurate, you must submit a written challenge and provide any available supporting

documentation showing that the information contained in Alcon’s records should be corrected and that corrected

information should be used. Your written challenge and supporting documentation must be mailed to the Claims

Administrator with a postmark of no later than [30 days after Notice is mailed].

To Exclude Yourself from the Settlement: If you want to exclude yourself from this Settlement, you must

send the Claims Administrator an opt-out statement requesting exclusion with a postmark of no later than [30

days after Notice is mailed]. The request for exclusion must contain the statement, “I request exclusion from

the class settlement in Orr et al. v. Novartis Corporation and Alcon Laboratories, Inc.” The request for

exclusion must be signed by the Settlement Class Member who seeks to opt out and must contain the Settlement

Class Member’s name, address, and telephone number. If you exclude yourself from this Settlement, you will

not be eligible to receive any money, you will not be bound by this Settlement, and you cannot object to the

Settlement.

To Object to the Settlement: If you want to object to the Settlement, you must send your objection in

writing, with a postmark of no later than [30 days after Notice is mailed], to the Claims Administrator. Any

objection must contain the statement, “I object to the class settlement in Orr et al. v. Novartis Corporation and

Alcon Laboratories, Inc.,” must include a detailed description of the basis for the objection, must be signed by

the Settlement Class Member who is objecting, and must contain the Settlement Class Member’s name, address,

and telephone number. Settlement Class Members who fail to make objections in the manner specified above

will be deemed to have waived any objections and will be foreclosed from making any objection (whether by

appeal or otherwise) to the Settlement Agreement. If the Court rejects your objection, you will still be bound

by the terms of the Settlement.

For each of the foregoing deadlines, the postmark date of the mailing envelope that you send will be the exclusive

method used to determine whether you satisfied the deadline.


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6. How Will My Settlement Award Be Calculated?

Each Settlement Class Member will receive a Base Payment of at least $50. The Base Payment will be calculated

for each Settlement Class Member based on what job position(s) she held from March 17, 2012 through

November 12, 2015 (the “eligibility period”), the Settlement Class(es) to which the job position(s) correspond,

the total compensation (regular earnings, short-term incentive compensation, and long-term incentive

compensation) that she received during the time she was employed from March 17, 2012 through November 12,

2015 as a member of the Settlement Class(es), and the gender coefficient(s) for the Settlement Class(es) to which

her job position(s) correspond (according to a statistical model developed by Plaintiffs’ expert).

In order to illustrate how Base Payments are calculated, the following sample calculations show what several

hypothetical Settlement Class Members may expect to receive as Base Payments. (These are only estimates;

actual payments may vary depending on, among other things, the level of participation by other class and

collective action members in the Settlement.)

If a Director Class Member worked for 2 years during the eligibility period and earned total

compensation during this time at the annual rate of $267,486, her Base Payment is estimated at $4,896.

If a Manager Class Member worked for 3 years during the eligibility period and and earned total


If a Specialist/Analyst Class Member worked for 1 year during the eligibility period and earned total


If a Sales Class Member worked for 3 years during the eligibility period and earned total compensation

during this time at the annual rate of $91,377, her Base Payment is estimated at $466.

In addition, each Settlement Class Member who submits a timely, complete, and responsive Notice of Intent to

Submit Claim Form, as well as a timely, complete, and responsive Claim Form, alleging that at any time from

March 17, 2012 through November 12, 2015, she was discriminated against on account of her gender in

promotion or in assignment to a job, compensation grade, or compensation band, will be eligible to receive a

Supplemental Payment.

7. How Will My Settlement Award Be Reported for Tax Purposes?

For tax purposes, 50% of each Base Payment and each Supplemental Payment will be reported as wage payments

on a Form W-2 and will be subject to the withholding of required payroll taxes. The remaining 50% of each

Base Payment and each Supplemental Payment will be reported as non-wage income for non-wage damages on

a Form 1099.

Neither Class Counsel nor Defendants make any representations concerning the tax consequences of this

Settlement, and Settlement Class Members are advised to seek their own personal tax advice in connection with

the settlement payments.

8. What Claims Am I Releasing as Part of This Settlement?

If the Court grants final approval of the Settlement, then all Settlement Class Members who do not exclude

themselves from the Settlement will release any and all past or present claims of gender-based employment

discrimination in pay, promotion, and assignments while employed at Alcon from March 12, 2012, through

[Preliminary Approval Date] arising out of the same transactions, series of connected transactions, occurrences,

or nucleus of operative facts that form the basis of the claims asserted in the Civil Action on behalf of Settlement

Class Members (including in the original and amended complaint) (“Class Claims”). This includes claims of

gender-based employment discrimination in pay, promotion, and assignments brought under Title VII of the

Civil Rights Act of 1964, as amended, 42 U.S.C. §§ 2000e, et seq. (“Title VII”), the Equal Pay Act of 1963, 29


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U.S.C. § 206(d) (the “Equal Pay Act”), and any other federal, state, or local statutes, common law, or regulation

prohibiting gender-based employment discrimination in pay, promotion, and assignments.

Settlement Class Members who do not exclude themselves from the Settlement but fail to cash a settlement

check or otherwise opt-in to an Equal Pay Act Collective in this case will release all claims described in the

above paragraph other than those brought under the Equal Pay Act. However, unless you exclude yourself from

the Settlement, you will release the other claims affected by the Settlement regardless of whether you cash your

settlement check.

When you “release” a claim, it means you cannot sue Defendants for the same claims that are covered by the

Civil Action, as set forth in the Settlement Agreement. The terms of the release are set forth in Section 10 of

the Settlement Agreement.

You retain your right to sue on any claims that are not released as part of this Settlement. By participating in

this Settlement, Settlement Class Members do not release any claims for sexual harassment, hostile work

environment, retaliation, constructive discharge, wrongful termination, or any other discrimination in the terms

and conditions of employment that any Settlement Class Member may have under Title VII and/or any other

federal, state, or local statutes, common law, or regulations (other than the claims of gender-based employment

discrimination in pay, promotion or assignments described in the paragraphs above).

9. Do I Have a Lawyer in This Case?

The law firm of Sanford Heisler, LLP has been designated as legal counsel to represent you and the other

Settlement Class Members. You will not be charged separately for these lawyers; their fees and expenses will

be paid from the Total Settlement Amount in an amount awarded by the Court only if and after the Settlement

has been approved by the Court. If you want to be represented by your own lawyer, you may hire one at your

own expense.

10. How Will The Lawyers Be Paid?

Class Counsel took this case on a contingency basis; in other words, the lawyers agreed that they would only be

compensated for their work if they obtained a recovery for the Class Members.

As is routine in class action and collective action cases, Class Counsel will request an award of attorneys’ fees

and expenses incurred in connection with the class action and collective action in the Civil Action and this

Settlement. Class Counsel will request that the Court award them attorneys’ fees not exceeding one-third of the

Total Settlement Amount. This will pay Class Counsel for all work that they have performed and will continue

to perform in this action, including investigating and analyzing the facts, participating in private mediation, and

negotiating and overseeing the Settlement. In addition, Class Counsel will request reimbursement of costs that

Class Counsel incurs (which are estimated to total $175,000, including all costs for the Claims Administrator

and all costs for Plaintiffs’ expert).

11. Will Certain Plaintiffs Receive Any Additional Award for Bringing and Litigating This Case on

Behalf of the Settlement Class Members?

Class Counsel will ask the Court to approve service payments of up to between $5,000 and $20,000 to each of

the Class Representatives and Collective Action Representatives. These payments will come from the Total

Settlement Amount and will total no more than $110,000. Class Counsel will seek these payments as service

awards to compensate the Class Representatives and Collective Action Representatives for their service in

pursuing the class action and collective action claims in this case on behalf of Settlement Class Members and in

bringing about this Settlement.


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12. When and Where Will The Court Decide Whether to Approve the Settlement?

Every class action must be approved by the court that presided over the lawsuit. The Court will hold a final

settlement fairness hearing on [DATE] at [TIME] in Courtroom 12C, 500 Pearl Street, New York, NY 10007.

The case is assigned to the Honorable Gregory H. Woods, United States District Court Judge for the United

States District Court for the Southern District of New York. You may, but are not required to, attend.

At this hearing the Court will consider whether the terms of the Settlement are fair, reasonable, and adequate.

If there are written objections, the Court will consider them. You are not required to appear at the hearing;

however if you wish to speak at the hearing, you must have previously submitted your written objection

according to the directions outlined in Section 5 above. The Court will listen to people who have asked to speak

at the hearing. The Court may also decide how much to award to Class Counsel and to the proposed recipients

of service payments. Following the hearing, the Court will decide whether to approve the Settlement.

13. How Can I Find Out More Information about the Settlement?

This Notice contains only a summary of the terms of the Settlement. The complete terms of the Settlement are

in the Class and Collective Settlement Agreement and Release and the First Amendment to the Class and

Collective Settlement Agreement and Release (collectively, “Settlement Agreement”). You may obtain a copy

of the Settlement Agreement, and additional information pertaining to the Settlement, by contacting Class

Counsel or the Claims Administrator using the contact information below or by visiting their websites listed

below. You may also view the Settlement Agreement in hard copy at the Office of the Clerk, United States

District Court for the Southern District of New York, 500 Pearl Street, New York, New York 10007.

If you have further questions about the Settlement or are still not sure whether you are included, you can get free

help by contacting Class Counsel or the Claims Administrator as follows:

Class Counsel: David Sanford, Esq.

Sanford Heisler, LLP

1350 Avenue of the Americas, 31st Floor

New York, NY 10019

Phone: 646-402-5650

Fax: 646-402-5651

Website: www.sanfordheisler.com

Claims Administrator: Orr v. Novartis Claims Administrator

Kurtzman Carson Consultants LLC P.O. Box 40007

College Station, TX 77842-4007

Phone: XXX-XXX-XXXX

Fax: XXX-XXX-XXXX

Website: www.XXXX.com

PLEASE DO NOT CALL OR CONTACT THE COURT, THE OFFICE OF THE CLERK OF COURT,

OR DEFENDANTS WITH QUESTIONS REGARDING THIS NOTICE.


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Orr v. Novartis Claims Administrator

Kurtzman Carson Consultants LLC

P.O. Box 40007


IMPORTANT LEGAL MATERIALS

<<First Name>> <<Middle Name>> <<Last Name>>

<<Address>>

<<City>>, <<State>> <<Zip>>

Full Name: _____________________________________________

Address: ______________________________________________

City: __________________________________________________

State: ____________________ Zip Code:____________________

If the pre-printed information to the left is not correct or if

there is no pre-printed information, please check the box

and complete the information below:

NOTICE OF INTENT TO SUBMIT CLAIM FORM

ORR, ET AL. v. NOVARTIS CORPORATION AND ALCON LABORATORIES, INC.

Your Notice of Intent to Submit Claim Form must be returned POSTMARKED by no later than [30

DAYS AFTER NOTICE IS MAILED]. Enclosed is an envelope, with postage pre-paid, for returning

your Notice of Intent to Submit Claim Form.

Settlement Class Members who allege that, at any time from March 17, 2012, through November 12, 2015,

they were discriminated against based on their gender in seeking a promotion or in assignment to a job,

compensation grade, and/or compensation band may be eligible to receive a Supplemental Payment if they

take certain affirmative steps, which are summarized in Section 5 of the attached Notice of Pendency of

Proposed Class Action and Collective Action Settlement.

If you seek to receive a Supplemental Payment, as a first step you must complete this Notice of Intent to

Submit Claim Form and send it to the Claims Administrator (Orr v. Novartis Claims Administrator,

Kurtzman Carson Consultants LLC, P.O. Box 40007, College Station, TX 77842-4007) with a postmark

of no later than [30 days after Notice is mailed]. If you answer “No” to Question #1 below, you are not

eligible to receive a Supplemental Payment and should not submit this Notice of Intent to Submit Claim Form.

Additional steps will be required after the Court grants final approval of the Settlement; these steps and the

applicable deadlines will be described in a mailing to those Settlement Class Members who timely complete

this Notice of Intent to Submit Claim Form. The mailing will be sent after the Court grants final approval of

the Settlement.

* * *

1. Do you believe that, at any time from March 17, 2012 through November 12, 2015, (1) you were

discriminatorily denied a promotion based on your gender, or (2) you were discriminated against based

on your gender in an assignment to a job, compensation grade, or compensation band?

Yes No

_____________________________________ _____________________________________

Signature of Claimant Personal Email Address of Claimant

_____________________________________ _____________________________________

Typed or Printed Name of Claimant Preferred Phone Number for Claimant


Exhibit C


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P.O. Box 40007


IMPORTANT LEGAL MATERIALS

<<First Name>> <<Middle Name>> <<Last Name>>

<<Address>>

<<City>>, <<State>> <<Zip>>

Full Name:____________________________________________________

Address: ____________________________________________________

City: ________________________________________________________

State: ____________________ Zip Code: __________________________

If the pre-printed information to the left is not correct or if

there is no pre-printed information, please check the box and

complete the information below:

CONFIDENTIAL CLAIM FORM FOR SUPPLEMENTAL PAYMENT

ORR, ET AL. v. NOVARTIS CORPORATION AND ALCON LABORATORIES, INC.

Your Claim Form must be returned POSTMARKED by no later than [60 DAYS AFTER EFFECTIVE DATE].

Enclosed is an envelope, with postage pre-paid, for returning your Claim Form.

You are receiving this Claim Form because our records indicate that you submitted a timely, complete, and responsive

Notice of Intent to Submit Claim Form. If you follow the instructions in this Claim Form, you may be eligible to receive a

Supplemental Payment as part of the monetary settlement in this case.

You do not have to submit this Claim Form in order to receive a portion of the monetary settlement. If you are the

intended recipient of this Claim Form, you will automatically receive a Base Payment from this settlement, as explained

in the Notice previously sent to you on [DATE ORIGINAL NOTICE WAS SENT]. You do not need to do anything to

receive your Base Payment, which will be placed in the mail by [60 DAYS AFTER EFFECTIVE DATE].

However, in addition, you may be eligible to receive a Supplemental Payment if, during the period from March 17, 2012,

to November 12, 2015, you believe that you experienced gender discrimination in seeking a promotion and/or in

assignment to a job, compensation grade, and/or compensation band. In order to receive a Supplemental Payment, you

must submit timely, complete, and responsive answers to every question in this Claim Form and must do so under

penalty of perjury.

Based on the answers you provide in your completed Claim Form, the Claims Administrator will determine if you are

eligible to receive a Supplemental Payment. The decision of the Claims Administrator will be final. If you are

determined to be eligible, you will be awarded a Supplemental Payment based on the total compensation (regular

earnings, short-term incentive compensation, and long-term incentive compensation) that you received following the

event of alleged discrimination, the Settlement Class(es) of which you were a member following the event of the alleged

discrimination, and the gender coefficient(s) corresponding to those Settlement Class(es) (according to a statistical model

developed by Plaintiffs’ expert).

INSTRUCTIONS

1. Answer all questions on pages 2 and 3 of this Claim Form. If you answer “No” to #7, you are not eligible to

receive a Supplemental Payment and should not submit a Claim Form and/or a Declaration.

2. Sign and date the Declaration on page 4 of the Claim Form.

3. Mail your completed Claim Form and Declaration to the Claims Administrator at the address listed on page 4 of the

Claim Form, postmarked on or before [60 DAYS AFTER EFFECTIVE DATE]:

4. That’s it! All supplemental payments will be mailed by [240 DAYS AFTER EFFECTIVE DATE].

NEED ASSISTANCE? If you need assistance in completing your Claim Form, you can get free help by contacting

Class Counsel: Sanford Heisler, LLP, 1350 Avenue of the Americas, 31st Floor, New York, NY 10019, Tel: (646)

402-5650, Fax: (646) 402-5651, www.sanfordheisler.com. You can also get free help by contacting the Claims

Administrator: Kurtzman Carson Consultants LLC, P.O. Box 40007, College Station, TX 77842-4007, Tel: (XXX)

XXX-XXXX, Fax: (XXX) XXX-XXXX, www.XXXX.com.


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All information contained in this Claim Form will be kept strictly CONFIDENTIAL. Your answers will only be used in

order to administer Supplemental Payments. The fact that you submitted a Claim Form and the answers you provided will

NOT be disclosed to Alcon Laboratories, Inc. or Novartis Corporation.

1. Full Name: ________________________________________________________________________ Last First Middle

2. Home Telephone Number: ( ____ ____ ____ ) ____ ____ ____ - ____ ____ ____ ____

3. Cell Telephone Number: ( ____ ____ ____ ) ____ ____ ____ - ____ ____ ____ ____

4. Personal E-Mail Address: ____________________________________________________

5. Social Security Number: ____ ____ ____ - ____ ____ - ____ ____ ____ ____

6. Date of Birth: ________ / ________ / ______________

7. Do you believe that, at any time from March 17, 2012 through November 12, 2015, (1) you were discriminatorily

denied a promotion based on your gender, or (2) you were discriminated against based on your gender in an

assignment to a job, compensation grade, or compensation band?

Yes No

If you answered “Yes” to #7, please answer #8-10 below. If you answered “No” to #7, you are not eligible to

receive a Supplemental Payment and should not submit a Claim Form.

8. Please provide in the lines below or as an attachment to this Claim Form a brief written explanation regarding the

basis for your belief that during the period from March 17, 2012 through November 12, 2015, (1) you were

discriminatorily denied a promotion based on your gender, or (2) you were discriminated against based on your

gender in an assignment to a job, compensation grade, or compensation band. Please note that your answer to this

question will be used to determine whether or not you are eligible for a Supplemental Payment.

(Relevant information regarding a claim of discrimination in promotion may include: the name of the position that

you believe you were discriminatorily denied, your qualifications for the position, the date and method by which you

applied for the position, the name of the male applicant who received the position, and any other circumstances

suggesting that you were denied the position because of your gender. Relevant information regarding a claim of

discrimination in an assignment to a job, compensation grade, or compensation band may include: the job,

compensation grade, or compensation band to which you believe you were discriminatorily assigned; the date and

method by which you believe you were discriminatorily assigned; your qualifications for a better job, compensation

grade, or compensation band; the name of any male employees who were similarly qualified as you but were

assigned to a better job, compensation grade, or compensation band; and any other circumstances suggesting that you

were assigned to an inferior job, compensation grade, or compensation band because of your gender.)

______________________________________________________________________________________________

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______________________________________________________________________________________________

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9. What is the approximate date (month, day, and year) when you believe you first experienced the discrimination in

promotions or assignments that you allege in your responses to Questions 7 and 8? Please note that your answer to

this question will be used in computing the amount of your Supplemental Payment.

(For a promotion claim, this may be the date when you first learned that you were denied the promotion or the date

when another applicant was selected for the promotion, whichever occurred first. For an assignment claim, this may

be the date when you were first assigned to the lower job, compensation grade, or compensation band.)

______________________________________________________________________________________________

10. Please provide in the lines below or as an attachment to this Claim Form a brief written explanation regarding the

basis for the date you supplied in your answer to Question 9.

_____________________________________________________________________________________________

_____________________________________________________________________________________________

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DECLARATION

I, ___________________________________, DECLARE UNDER PENALTY OF PERJURY THAT THE

INFORMATION AND FACTS I HAVE STATED IN THIS CLAIM FORM ARE TRUE AND

CORRECT TO THE BEST OF MY KNOWLEDGE.

I understand that I must keep the Claims Administrator informed of my home address and of any change

in my home address. If I do not do so, I understand that I may not receive any award that I might

otherwise be entitled to receive.

Executed this _______ day of ________________________, 2016.

_____________________________________

Signature of Claimant

_____________________________________

Typed or Printed Name of Claimant

To be eligible, your completed Claim Form and signed Declaration must be postmarked by [60 DAYS

AFTER EFFECTIVE DATE]. You should NOT submit a Claim Form and/or Declaration if you answered

“No” to #7 in this Claim Form.

All Claim Form submissions should be mailed to:



P.O. Box 40007



Case 1:15-cv-01980-GHW Document 94-1 Filed 08/02/16 Page 2 ... · Lemke, Melissa Mota, and Kristine...

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Transcript of Case 1:15-cv-01980-GHW Document 94-1 Filed 08/02/16 Page 2 ... · Lemke, Melissa Mota, and Kristine...