Trading Symbol: HMY
CUSIP Number: VARIOUS
TERMS OF THE SETTLEMENT: The Settlement consists of $9,000,000 in cash and will include interest on the Settlement Fund prior to distribution.
CLASS DESCRIPTION: On behalf of all persons and entities who, during the period between April 25, 2007 and August 7, 2007, inclusive satisfy subsection (a) and/or subsection (b) below, and who suffered damages as a result:
a) Purchased Harmony Gold Mining Co. Ltd. ("Harmony" or the "Company") American Depository Receipts (ADRs) on the New York Stock Exchange or NASDAQ, and who
i. Sold those same ADRs on August 6 or August 7, 2007; or
ii. Held those same ADRs through August 7, 2007;
b) Sold put options or purchased call options on Harmony ADRs on the Chicago Board Options Exchange, and who
i. Purchased those same put options on August 6 or 7, 2007;
ii. Sold those same call options on August 6 or 7, 2007; or
iii. Held those same option positions through August 7, 2007.
IMPORTANT DATES:
DATE TO SEEK EXCLUSION
FROM THE CLASS: N/A
DATE FOR SUBMISSION OF
PROOF OF CLAIM FORMS: JANUARY 9, 2012
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