Académique Documents
Professionnel Documents
Culture Documents
Notwithstanding the above, this TDP shall not resolve any Patient-Related Claims, Claims against Clinic Dentists
or Insureds arising from the same circumstances as Patient-Related Claims, or Claims asserted by holders referenced
in such foregoing claims, filed against FORBA LLC, FORBA NY LLC, DeRose Management Company, DD
Marketing, Inc., Danny DeRose, Edward DeRose, Michael DeRose, William Mueller, Michael Roumph, Richard
Lane, or Adolph Padula.
Desc
1.2
Attorneys Fees means those fees owed to a claimants
counsel for his or her services in representing such claimant. Attorneys
Fees shall include incurred fees as well as incurred expenses, as specified by
claimants counsel in the proof of claim form. Attorneys Fees shall be paid
from the Liquidated Trust Claim Amount plus the Liquidated Extraordinary
Claim Amount, if applicable, subject to the applicable payment caps
outlined in Section 5.1(e)(5) of this TDP.
1.3
Claimant Payment Fund means the fund from which
all Trust Claims shall be paid, as described in Section 5.1(e)(1) of this TDP.
1.4
1.5
Clinic Dentists means any dentist who was employed at
one of the Dental Clinics during the effective dates of the SSHC Policies
and/or is scheduled as an insured, named insured or additional insured at any
time under any of the Non-SSHC Policies. Notwithstanding the foregoing,
Clinic Dentists shall not include any of the following individuals: Danny
DeRose, Edward DeRose, Michael DeRose, William Mueller, Michael
Roumph, Richard Lane or Adolph Padula.
1.6
Debtor means one or more of CS DIP, LLC, SSHC DIP,
LLC, and FNY DIP, LLC.
1.7
Dental Clinic means any dental clinic that was under or
is claimed to have been under a management agreement with one or more of
the Debtors and/or is scheduled as an insured, named insured or additional
insured under any of the SSHC Policies.
1.8
Execution Date means the first date upon which the
Settled Insurers and the Trust have executed the Settlement and Release
Agreement and it is approved by the TAC.
1.9
Extraordinary Claim means a Trust Claim that
otherwise satisfies the Treatment Criteria, and in addition establishes the
applicability of one or more of the Qualifying Events.
1.10
Extraordinary Injury Fund means an amount of
$1,000,000 set aside by the Trust to pay Extraordinary Claims.
1.11
Insureds means Small Smiles Holding Company (n/k/a
SSHC DIP, LLC), any Dental Clinic and any of the insureds, named
insureds and additional insureds scheduled at any time under any of the
SSHC Policies. Notwithstanding the foregoing, Insureds shall not include
any of the following individuals: Danny DeRose, Edward DeRose, Michael
ii
Desc
iii
Desc
1.21
Qualified Dentist means a dentist, currently or
previously licensed to practice dentistry and who has provided regular care
to dental patients aged twelve or younger. To become a Qualified Dentist,
the dentist shall submit a sworn affidavit certifying that he or she has never
had his or her license revoked and has provided regular care to dental
patients aged twelve or younger.
1.22
Qualifying Events means those medical or dental
conditions or medical or dental treatments forming the basis of a claimants
Extraordinary Claim, as outlined in Section 5.3 of this TDP.
1.23
Represented by Counsel means a claimant who, on the
proof of claim form, includes a certification from his or her counsel stating
that as of the Notice Determination Date, such counsel had an enforceable
attorney-client contract with the claimant and had requested the claimants
dental records related to the claimants treatment at any Dental Clinic.
1.24
Restraint means the use of a stabilization board to limit
the claimants freedom of movement during the dental examination or
treatment.
1.25
Review Process means the claim liquidation process
used by the Trust to process and liquidate all Trust Claims, as described in
Section 5.2 of this TDP.
1.26
Settled Insurers means those insurance carriers who, by
June 2, 2015, have reached an agreement with the Trust resolving their
obligations for, among other things, Trust Claims. Settled Insurers shall
include National Union Fire Insurance Company of Pittsburgh, PA, any
other member underwriting company of American International Group, Inc.,
and AIG Claims, Inc.
1.27
SSHC Policies means the following policies issued by
National Union Fire Insurance Company of Pittsburgh, PA to Small Smiles
Holding Company (n/k/a SSHC DIP, LLC), as the first named insured: (1)
Dentists Liability Policy No. DNU3375848 for the policy period of
September 26, 2009 to September 26, 2010; (2) Dentists Liability Policy
No. DNU3375848 for the policy period of September 26, 2008 to September
26, 2009; (3) Dentists Liability Policy No. DNU6360128 for the policy
period of December 1, 2009 to December 1, 2010; and (4) Dentists Liability
Policy No. DNU6360128 for the policy period of December 1, 2008 to
December 1, 2009.
1.28
iv
Desc
1.29
Treatment Categories means the ten
treatment/procedure categories described in Section 5.2(c) of this TDP, used
to establish the Liquidated Trust Claim Value of a Trust Claim.
1.30
Treatment Criteria means the requirements to establish
a Trust Claim, outlined in Section 5.2(b) of this TDP.
1.31
Trust means the CS DIP Liquidating Trust and the CS
DIP Qualified Settlement Fund trust.
1.32
Trust Account means that account, to be managed by
the Trustee, established to hold those funds payable to claimants who are
minors at the time their Trust Claims are liquidated.
1.33
Trust Agreement means that Liquidating Trust
Agreement executed as of April 15, 2013 by and among the Debtors, the
Trustee and the TAC, and that Qualified Settlement Fund Trust Agreement
executed as of April 15, 2013 by and among the Debtors, the Trustee and
the TAC.
SECTION II
Introduction
2.1
Purpose. This TDP has been adopted pursuant to the Trust Agreement and shall
not affect any of the rights of the Settled Insurers, including under the Settlement and Release
Agreement entered into on April 29, 2015 between the Trust and the Insurers (as defined
therein). It is designed to treat all holders of Trust Claims equitably by setting forth procedures
for processing and paying all Trust Claims on an impartial basis, with the intention of paying
each claimant an individual share on the basis of the proportional value of his or her Trust Claim.
All payments made to holders of Trust Claims are intended to compensate claimants for damages
related to personal injuries, including bodily injury, and related mental consequences. These
payments are not intended to compensate holders of Trust Claims for lost wages or present or
future medical or dental expenses.
2.2
Desc
SECTION III
Overview
3.1
Claims Liquidation Procedures. All claimants holding a Trust Claim must file
the Trust Claim with the Trust in accordance with the proof of claim provisions of Section 5.1(a)
and Section 5.1(b) below. Upon filing of the Trust Claim, the Trust Claim shall be processed,
liquidated and paid as set forth below. The Trust shall take all reasonable steps to resolve Trust
Claims as efficiently and expeditiously as possible.
3.2
Resolution of Trust Claims. The Trust shall liquidate, under the Review
Process, all Trust Claims that satisfy the Treatment Criteria. The Liquidated Trust Claim
Amount of a Trust Claim is dependent on the claimant satisfying the Treatment Criteria.
3.3
Extraordinary Claim if he or she satisfies the Treatment Criteria, and further demonstrates the
applicability of one or more Qualifying Events. The Liquidated Extraordinary Claim Amount of
an Extraordinary Claim is dependent on the claimants qualifying Treatment Categories and the
applicable Qualifying Events.
The Treatment Criteria, Treatment Categories, and Qualifying Events have all been
selected and derived with the intention of achieving a fair allocation of the assets held by the
Trust as among the claimants in light of the best information available, considering the rights that
the claimants would have in the relevant tort system absent the Debtors bankruptcies.
SECTION IV
TDP Administration
4.1
TAC. Pursuant to the Plan and the Trust Agreement, the Trust and this TDP shall
be administered by the Trustee in consultation with the TAC, which represents the interests of
vi
Desc
holders of present Trust Claims against the Trust, pursuant to Section 8.2 of the Trust
Agreement. The Trustee shall consult with the TAC on such matters as are provided below and
in Section 8.7 of the Trust Agreement. The Trustee shall obtain the consent of the TAC on any
amendments to this TDP pursuant to Section 8.1 below, and on such other matters as are
otherwise required below and in Section 8.7 of the Trust Agreement. The initial members of the
TAC are identified in the Trust Agreement.
4.2
consultation or consent is required, the Trustee will provide written notice to the TAC of the
specific amendment or other action that is proposed. The Trustee will not implement such
amendment or take such action unless and until the parties have engaged in the Consultation
Process described in Section 8.7(a) of the Trust Agreement, or the Consent Process described in
Section 8.7(b) of the Trust Agreement, respectively.
SECTION V
Resolution of Claims
5.1 Processing and Payment of Trust Claims.
5.1(a) Proof of Claim Deadline. All Trust Claims must be evidenced by a proof
of claim form and required supporting documentation. All proofs of claim and supporting
documentation must be submitted by the Claim Deadline. Trust Claims that are not evidenced
by a properly-completed proof of claim form and all required supporting documentation at the
Claim Deadline will not be entitled to compensation under this TDP. Notwithstanding the
above, the Trust may, at its discretion, permit holders of timely-filed Trust Claims the
opportunity to correct or modify their submissions to correct defects, as detailed in Section 5.1(b)
below. Also notwithstanding the above, the Trust may, in its discretion, permit a late-filed Trust
vii
Desc
Claim to be processed and paid if the Trustee determines that the circumstances justify such a
late-filed Trust Claim and the late Trust Claim will not materially delay the resolution of timelyfiled Trust Claims.
5.1(b) Correcting and/or Modifying Trust Claims. In the event that a claimant
submits a timely Trust Claim without properly completing the proof of claim form or without all
necessary supporting documentation, the claimant may, within 30 days of notice of the deficient
submission by the Trustee, correct the noted deficiency and re-submit the Trust Claim. If the
deficiency is corrected in the re-submitted Trust Claim, the Trust Claim shall be considered to
have been timely filed.
5.1(c) Processing of Trust Claims. The Trust will review and process all Trust
Claims for which there is a proof of claim form submitted by the Claim Deadline. The Trust
shall assign each proof of claim form an identifying number, which identifier will be used on all
subsequent correspondence between the Trust and the claimant, including correspondence
regarding payment of the Trust Claim. A copy of the required claim form is attached as
Exhibit 1 hereto.
5.1(d) Processing of Extraordinary Claims. Within 180 days from the date
that the Trust approves a Trust Claim for payment, as described in Section 5.1(e)(2), the claimant
may assert an Extraordinary Claim by completing and submitting a proof of claim form for an
Extraordinary Claim. The extraordinary claim form shall require the claimant to: (i) identify his
or her proof of claim number relating to the Trust Claim; (ii) specify which Qualifying Events
are applicable to the Extraordinary Claim; and (iii) submit all supporting documentation required
to establish the applicability of the Qualifying Events, as described further in Section 5.3 below.
A copy of the proof of claim form for an Extraordinary Claim is attached as Exhibit 2 hereto.
viii
Desc
ix
Desc
Claim shall be entitled to a payment equaling the Liquidated Trust Claim Amount, less
applicable Attorneys Fees.
If the claimant is a minor at the time his or her Trust Claim is approved for payment, the
Liquidated Trust Claim Amount, less applicable Attorneys Fees, shall be placed into the Trust
Account and paid upon the claimants eighteenth birthday, as described in Section 5.1(e)(6)
below.
5.1(e)(3) Payment Process for Extraordinary Claims. The Liquidated
Extraordinary Claim Amount shall be calculated according to the following process: First, the
Liquidated Trust Claim Amount shall be established as described in Section 5.1(e)(2) above.
Second, for each applicable Qualifying Event, the claimant shall be entitled to receive the
Associated Claim Value, as outlined in Section 5.3 below. Third, the Liquidated Trust Claim
Amount and all Associated Claim Values shall be totaled to determine the Liquidated
Extraordinary Claim Amount. Each claimant establishing an Extraordinary Claim shall be
entitled to a payment equaling the Liquidated Extraordinary Claim Amount, less applicable
Attorneys Fees. If the total amount of payments for Extraordinary Claims calculated in this
manner exceeds $1 million, than each Extraordinary Claim payment shall be proportionally
reduced such that the total amount does not exceed $1,000,000.
If the claimant is a minor at the time his or her Extraordinary Claim is approved, the
Extraordinary Trust Claim Amount, less applicable Attorneys Fees, shall be placed into the
Trust Account and paid upon the claimants eighteenth birthday, as described in Section
5.1(e)(6) below.
5.1(e)(4) Unused Amounts in Extraordinary Injury Fund. The
balance of any unused amounts in the Trusts Extraordinary Injury Fund, if any, shall be
Desc
allocated back to all claimants who assert a qualifying Trust Claim, based on the qualifying
claimants pro rata share of the Claimant Payment Fund. Counsel for claimants shall also
receive a pro rata portion of their Attorneys Fees, as described in Section 5.1(e)(5)(iii) below.
5.1(e)(5) Payment of Attorneys Fees.
5.1(e)(5)(i) Attorneys Fees Entitlement. Counsel for claimants
shall be entitled to receipt of their Attorneys Fees, which shall be paid from the Liquidated Trust
Claim Amount, the Liquidated Extraordinary Claim Amount, or both, as applicable. However,
notwithstanding any contractual arrangement between counsel and claimant to the contrary, the
incurred fees portion of such Attorneys Fees shall be no more than the applicable statutory cap
for counsel representing claimants holding Pre-Notice Trust Claims, and no more than 15% of
the Liquidated Trust Claim Amount or the Liquidated Extraordinary Claim Amount for counsel
representing claimants holding Post-Notice Trust Claims.
5.1(e)(5)(ii) Payment Process for Trust Claims. Within 30 days
of the Trusts determination of the Liquidated Trust Claim Amount for any particular Trust
Claim, the Trust shall remit payment of Attorneys Fees to counsel for the claimant, subject to
the payment caps described in section 5.1(e)(5)(i) above.
5.1(e)(5)(iii) Payment Process for Extraordinary Claims.
Within 30 days of the Trusts determination of the Liquidated Extraordinary Claim Amount for
any particular Extraordinary Claim, the Trust shall remit payment of Attorneys Fees to counsel
for the claimant, subject to the payment caps described in section 5.1(e)(5)(i) above. To the
extent that counsel are entitled to additional Attorneys Fees in connection with payment
increases on Trust Claims associated with unused funds in the Extraordinary Injury Fund, such
xi
Desc
additional fees shall be paid at the same time as Attorneys Fees related to an Extraordinary
Claim.
5.1(e)(5)(iv) Specification in Proof of Claim Form. As
described in Section 5.1(c) above, each claimant must, when completing the proof of claim form
for his or her Trust Claim, specify whether he or she is represented by counsel, provide such
counsels contact information, and include the following information regarding the counsels
incurred Attorneys Fees: (1) a description of the agreement between the claimant and claimants
counsel concerning the counsels recoverable attorneys fees ; (2) whether, under such
agreement, the counsels recoverable fees are based upon the claimants gross recovery from the
Trust or upon the claimants net recovery after the deduction of counsels incurred expenses; and
(3) the total dollar amount of the counsels incurred expenses. The Trusts obligation to pay any
portion of a claimants Attorneys Fees is contingent on receipt of the foregoing information.
5.1(e)(6) Trust Account.
5.1(e)(6)(i) In General. In the event that the Trust remits
payment on a Trust Claim or on an Extraordinary Claim to a claimant who is a minor, the
associated Liquidated Trust Claim Amount or Liquidated Extraordinary Claim Amount, less
Attorneys Fees, will be transferred to the Trust Account to be managed by the Trustee.
5.1(e)(6)(ii) Investment of Trust Account Funds. The Trustee is
entitled to employ advisors to assist in the management and investment of the amounts held in
the Trust Account. The reasonable costs and fees incurred by such investment advisors shall be
paid, as agreed by the Trustee, from the investment income produced.
5.1(e)(6)(iii) Payment to Claimants. Upon the claimants
eighteenth birthday, he or she shall receive a payment amount equal to the Liquidated Trust
xii
Desc
Claim Amount, plus the Liquidated Extraordinary Claim Amount, if applicable, less applicable
Attorneys Fees (which will already have been paid to such claimants counsel pursuant to
Section 5.1(e)(5) above), plus the interest accrued on the remaining Liquidated Trust Claim
Amount, the Liquidated Extraordinary Claim Amount, or both, after the expenses associated
with managing the Trust Account have been paid.
5.1(e)(7) Claimant Change of Address. Following the submission of a
proof of claim form, if the address associated with a proof of claim changes, such claimant shall
submit a change of address form to the Trustee (via the Trustees website or by mail). Until the
Trustee receives such change of address notice, the Trustee is entitled to use the last known
address on file for the claimant for all purposes.
5.1(e)(8) Unclaimed Funds. If, after a period of sixty (60) days the
Trustee has attempted to, but is unable to deliver payment to the claimant address on file, the
Trustee is entitled to turn the payment amount over to the Texas unclaimed property fund and
register such funds in the name of the claimant.
5.2
expeditious, efficient and inexpensive method for liquidating all Trust Claims. The Review
Process is intended to provide qualifying claimants a fixed payment on the basis of each
claimants treatment history. In its Review Process, the Trust shall determine whether the Trust
Claim described in each proof of claim form meets the Treatment Criteria, and if so, which
Treatment Categories, if any, apply.
5.2(b) Treatment Criteria. For all Trust Claims, each claimant shall submit a
proof of claim form. The proof of claim form shall require the claimant to:
xiii
Desc
i.
ii.
iii.
iv.
v.
release any Trust Claims, known or unknown, that such claimant has
asserted or may be entitled to assert against the Settled Insurers;
vi.
vii.
consent to the release of any Claim against the Liquidating Trust pursuant
to HIPPA or related statutes for the release of the claimants medical
records that may be necessary to process the Trust Claim;
xiv
Desc
viii.
ix.
provide any such additional information as the claim form may require.
In no case may a Trust Claim be asserted by any person other than a patient of a
Dental Clinic, including by parents, guardians or other individuals that may seek to assert a Trust
Claim on behalf of a patient.
5.2(c) Treatment Categories. As set forth in Section 5.2(b) above, each
claimant must demonstrate the applicability of one or more Treatment Categories. The ten
qualifying Treatment Categories and their associated point assignments are detailed in the chart
below. Treatment criteria are applied separately for each visit to a Dental Clinic. Each claimant
may assert a claim for multiple visits, and points awarded for each such visit shall be cumulative.
A claimant may receive multiple point allocations for any one Treatment Category, where such
claimant establishes that the treatment/procedure criteria for the Treatment Category applied on
more than one occasion.
Treatment
Category
Category 1
Points for
Pre-Notice
Claimants
1.3 points
Points for
Post-Notice
Claimants
0.91 point
Category 2
1.2 points
0.84 point
Treatment/Procedure
Criteria
(1) Restraint used; (2)
Procedures performed;
(3) no local anesthesia
used during the
Procedures; and (4) no
nitrous oxide used
during the Procedures.
(1) Restraint used; (2)
Procedures performed;
(3) no local anesthesia
used during the
xv
Desc
Category 3
1.0 point
0.70 point
Category 4
0.9 point
0.63 point
Category 5
0.8 point
0.56 point
Category 6
0.5 point
0.35 point
Category 7
0.4 point
0.28 point
Category 8
0.2 point
0.14 point
Category 9
0.1 point
0.07 point
xvi
Desc
Category 10
0.05 point
0.035 point
For any visit to a Dental Clinic at which there were more than four Procedures
performed, the total points awarded by the Trustee for that visit shall be increased by the
following percentages:
Number of procedures
5.3
Percentage increase
5 to 8
10%
9 to 10
20%
11 to 12
30%
13 to 16
40%
> than 16
50%
Extraordinary Claim Review Process. Within 180 days from the date that the
Trust approves payment on a Trust Claim, the claimant may assert an Extraordinary Claim by
completing and submitting the extraordinary claim form. A claimant making such an assertion
must demonstrate the applicability of one or more Qualifying Events associated with one or more
of the Treatment Categories, as described below. Qualifying Events are applied separately for
each visit by a claimant to a Dental Clinic. Each claimant may assert a claim for multiple visits
to one or more Dental Clinics, where such claimant establishes that a Qualifying Event occurred
on more than one visit. Each Qualifying Event increases the value of the claimants Trust Claim
by the amount of the Associated Claim Value; however, the maximum percentage a claimant
xvii
Desc
may recover on an Extraordinary Claim is 50% of such claimants Liquidated Trust Claim
Amount. When asserting an Extraordinary Claim, the claimant must provide documentation
supporting each listed Qualifying Event. The costs related to processing Extraordinary Claims
shall be deducted from the Extraordinary Injury Fund.
Qualifying Event
Loss of a permanent tooth, not related to an accident or preexisting abscess, within twelve months of the time such
tooth was treated at a Small Smiles
SECTION VI
Claims Materials
6.1
xviii
Desc
6.1(a) Trust Claims. The claims materials for Trust Claims shall include a copy
of this TDP, such instructions as the Trustee shall approve, a detailed proof of claim form, and an
extraordinary claim form. The Trust may obtain claims information from a claimant or from a
claimants attorney, in electronic format, or, if not possible, in paper format.
6.1(b) Revision of Claim Forms. With the consent of the TAC, the Trustee may
revise the proof of claim form or the extraordinary claim form. The Trustee may, in his sole
discretion, accept claimant submissions in a format that differs from the claim form, provided
that the content of the information provided is the substantial equivalent to that sought on the
claim form.
6.1(c) Withdrawal of Trust Claims. A claimant can withdraw a Trust Claim at
any time prior to the Claim Deadline upon written notice to the Trust and file another such Trust
Claim subsequently without affecting the status of the Trust Claim.
SECTION VII
General Guidelines for Liquidating and Paying Trust Claims
7.1
Showing Required. To establish a valid Trust Claim, a claimant must meet the
requirements set forth in this TDP, including by supplying all of the information requested on the
claim form and executing the associated releases.
7.2
payment to a claimant on an Extraordinary Claim, the Trust must have reasonable confidence
that the evidence provided in support of the Extraordinary Claim is credible and consistent with
recognized dental standards.
7.3
Interest. Interest shall be payable on any Trust Claim only to the extent that it
accrues between the date that the Trust approves such claim for payment and the date of the
xix
Desc
Third-Party Services. Nothing in this TDP shall preclude the Trust from
contracting with a claims processing organization to provide services to the Trust so long as
decisions about the categorization and liquidated value of Trust Claims are based on the relevant
provisions of this TDP, including the Treatment Criteria, Treatment Categories, and Qualifying
Events set forth above.
7.5
Medicare Act Obligations. To the extent such obligations exist, the Trustee
shall be responsible for any reimbursement and repayment obligations under the Medicare Act
for claim-related conditional payments made under Medicare Part A, B, C, and D or any states
Medicaid statute prior to making any payment on a Trust Claim or an Extraordinary Claim. To
the extent such obligations exist, the Trustee also shall be responsible for any reporting or
financial obligations imposed by the Medicare Act or any states Medicaid statute in connection
with any payment to a claimant on a Trust Claim or an Extraordinary Claim.
SECTION VIII
Miscellaneous
8.1
modify, delete, or add to any provisions of this TDP (including amendments to conform this
TDP to advances in scientific, medical, or dental knowledge or other changes in circumstances),
provided it first obtain the consent of the TAC.
8.2
unenforceable, such determination shall in no way limit or affect the enforceability and operative
effect of any and all other provisions of this TDP. Should any provision contained in this TDP
xx
Desc
xxi
Desc
Exhibit 1
CS DIP Liquidating Trust
Claim Form
Submit completed Claim Forms to:
Via Email: SmallSmiles@verusllc.com
www.SmallSmilesClaims.com
Via US Mail
CS DIP Liquidating Trust
c/o Verus Claims Services, LLC
2000 Lenox Drive, Suite 206
Lawrenceville, NJ 08648
INSTRUCTIONS
1. Please complete all sections of the Claim Form and submit all required supporting
documentation. The completed and signed Claim Form, and all supporting
documentation, must be postmarked by [ ]. Failure to comply with these
requirements may result in your claim being denied.
2. The CS DIP Liquidating Trust encourages electronic submission of claims. Please see
www.SmallSmilesClaims.com for instructions on how to submit claims and
supporting documentation electronically. Submitting your Claim Form electronically
will expedite its processing.
3. Claims will be processed in accordance with the CS DIP Liquidating Trust Claim
Distribution Procedures (TDP), and capitalized terms used in this Claim Form, but
not defined in the glossary included as Section 7 of this Claim Form, have the
meanings as defined in the Plan or TDP. The Plan and TDP can be accessed at
www.SmallSmilesClaims.com.
4. In addition to this Claim Form, the following supporting information is required:
a. Relevant portions of the claimants dental records from any applicable Dental
Clinic, dated between February 1, 2000 and December 1, 2010, showing the
Procedure or Procedures for which the claimant seeks to assert a claim; and
b. An opinion of a Qualified Dentist certifying that some or all of the treatment the
claimant received at the Dental Clinic, for which the claimant seeks a distribution,
did not meet the applicable standard of care.
5. Please note that, when you submit a completed Claim Form and attach the required
supporting documentation, you will be entitled to payment from the CS DIP
xxii
Desc
Liquidating Trust only if you meet all of the requirements set forth in the TDP.
6. If, following the submission of the Claim Form, your mailing address changes, you shall
submit a change of address form, located at www.SmallSmilesClaims.com, to the CS
DIP Liquidating Trust by U.S. mail or at www.SmallSmilesClaims.com. Failure to
do so will result in any amounts due on the claim reverting to the Texas unclaimed
property fund.
Notice to Claimants and Counsel Regarding Attorney Fee Limitations
There are fee limitations that the attorney representing the claimant must strictly abide by as
stated in Section 5.1(e)(5) of the TDP.
First Name
Middle Name
Gender
Male
Suffix
Female
Mailing Address
City
State
ZIP Code
First Name
Middle Name
State
ZIP Code
Suffix
Mailing Address
City
xxiii
Desc
Section 2: Representation
________________________________________________________________________
If claimant is represented by counsel, please provide the following information. All notices
regarding the claimants Claim Form will be sent by email to the counsel unless other directions
are provided.
Part A: Representation
Law Firm Name
Mailing Address
City
State
ZIP Code
Attorney Suffix
Direct Telephone
E-mail Address
%
Check the description which applies:
Attorneys recoverable fees are based upon the claimants gross recovery from the CS
DIP Liquidating Trust.
Attorneys recoverable fees are based upon the claimants net recovery from the CS
DIP Liquidating Trust, after the deduction of the attorneys incurred expenses.
The following is the total dollar amount of the attorneys incurred expenses:
$
The above-requested information is required if any payment is to be made directly to the attorney
in advance of the claimants eighteenth birthday.
xxiv
Desc
Section 2: Representation
I hereby certify that as of the Notice Determination Date, I had an enforceable attorney-client
contract with the claimant who is submitting this Claim Form and had requested such claimants
dental records related to the claimants treatment at any Dental Clinic.
I certify that the foregoing provision is true and correct
I do not certify that the foregoing provision is true and correct
I hereby certify that my fee agreement with the claimant who is submitting this Claim Form
complies with any applicable statutory requirements or ethical obligations.
I certify that the foregoing provision is true and correct
I do not certify that the foregoing provision is true and correct
______________________________________________________
Signature of Claimants Counsel
______________ ____, 2015
Date
________________________
Printed Name of Signatory
xxv
Desc
Name of Clinic
Treatment Category
Visit 2
Date of Clinic Visit
Name of Clinic
Treatment Category
Visit 3
Date of Clinic Visit
Name of Clinic
Treatment Category
Visit 4
Date of Clinic Visit
Name of Clinic
Treatment Category
Visit 5
Date of Clinic Visit
Name of Clinic
Treatment Category
xxvi
Desc
Treatment Category
Category 1
Category 2
Category 3
Category 4
Category 5
Category 6
Category 7
Category 8
Category 9
Category 10
Treatment/Procedure Criteria
(1) Restraint used; (1) Procedures
performed; (3) no local anesthesia used
during the Procedures; and (4) no
nitrous oxide used during the
Procedures.
(1) Restraint used; (2) Procedures
performed; (3) no local anesthesia used
during the Procedures; and (4) nitrous
oxide used during the Procedures.
(1) Restraint used; (2) Procedures
performed; (3) local anesthesia used
during the Procedures; and (4) no
nitrous oxide used during the
Procedures.
(1) Restraint used; (2) Procedures
performed; (3) local anesthesia used
during the Procedures; and (4) nitrous
oxide used during the Procedures.
(1) Restraint used; and (2) no
Procedures performed.
(1) Procedures Performed; (2) no local
anesthesia used during the Procedures;
and (3) no nitrous oxide used during
the Procedures.
(1) Procedures Performed; (2) no local
anesthesia used during the Procedures;
and (3) nitrous oxide used during the
Procedures.
(1) Procedures Performed; (2) local
anesthesia used during the Procedures;
and (3) no nitrous oxide used during
the Procedures.
(1) Procedures Performed; (2) local
anesthesia used during the Procedures;
and (3) nitrous oxide used during the
Procedures.
(1) Single tooth extraction only; and (2)
no local anesthesia used during the
Procedure.
xxvii
Desc
______________________________________________________
Signature of Claimant or Claimants Counsel on Claimants behalf
___________________________
Printed Name of Signatory
___________________________
Date
xxviii
Desc
Section 5: Signature
________________________________________________________________________
1. By submitting this Claim Form, claimant, or claimants counsel on the claimants behalf,
submits to the jurisdiction of the State of Texas and agrees to be bound by the terms of
the TDP.
2. All claims must be signed under penalty of perjury by the claimant, the claimants
parent/guardian, if such claimant is a minor, or the claimants counsel signing on the
claimants behalf.
Claimant Name: ___________________________
Social Security Number: ____________________
I have reviewed the information submitted on this Claim Form and contained in all documents
submitted in support of this claim (Claim Information). I declare under penalty of perjury
under the laws of the United States of America that I am informed and believe, based upon
credible information available to me including the source, context and type of documents
submitted in support of this claim, that the Claim Information is true and correct.
____________________________________
Signature of Claimant or Representative
Printed Name: ________________________
Date: ___________________
Relationship to Claimant: ________________________
xxix
Desc
xxx
Desc
xxxi
Desc
xxxii
Desc
Exhibit 2
CS DIP Trust
Proof of Claim for Extraordinary Injury
Did the child experience one or more of the following extraordinary events related to dental care at
Small Smiles?
Complete a separate copy of this form for each dental visit for which Extraordinary Injury
compensation is sought. Check the box for each Qualifying Event which apply to the claimants
treatment during the specified visit. Qualifying Events are applied separately for each visit by a
claimant to a Dental Clinic. Each claimant may assert a claim for multiple visits to one or more
Dental Clinics, where such claimant establishes that a Qualifying Event occurred on more than one
visit.
Part A: Patient Information
Last Name
First Name
Middle Name
Suffix
Name of Clinic
The child received dental care under general anesthesia by a non-Small Smiles dentist within six months of
receiving dental care at Small Smiles.
Date of dental care under general anesthesia: __________________
The child received psychological counseling related to dental care received at Small Smiles within six months
of such dental care.
First date of psychological counseling: __________________
The child received dental care under conscious sedation by a non-Small Smiles dentist within twelve months
of receiving dental care at Small Smiles. Conscious sedation means the child received sedation drugs, not
just nitrous oxide.
Date of dental care under conscious sedation: __________________
The child received speech therapy related to dental care received at Small Smiles within twelve months of
receiving such care.
First date of speech therapy: __________________
The child lost one or more permanent teeth within twelve months of the time such tooth was treated at a Small
Smiles clinic, provided such loss was not the result of an accidental injury or originally treated by Small Smiles
for an abscessed condition.
Date of loss of tooth: __________________
xxxiii
Desc
The child, within six months of receiving dental care at Small Smiles, received medical or dental treatment on
an outpatient basis or in an emergency room for a condition related to the dental care the child received at
Small Smiles.
Date of medical or dental treatment: __________________
Please attach all documents (including dental, medical or other records) that you believe support
your claim. Documents should include any applicable medical or dental records from subsequent
treatment providers and identify the relevant portions of those records. To the extent your claim is
for Qualifying Events 1, 3, or 7 above, such documents should include a certification from the care
provider that such services were related to the childs treatment at Small Smiles. Without
supporting documents, your application to recover from the extraordinary injury fund will be
denied.
Signature: _______________________________________________
Printed Name: __________________________________________
Date: __________________________________________
Relationship to child: __________________________________
xxxiv
Desc