X0306 4 2016-09-30 1 0001027207 EPIQ SYSTEMS INC EPIQ 0001664844 ROTHMAN JAYNE L. 501 KANSAS AVE KANSAS CITY KS 66105 0 1 0 0 SVP, GC, Secretary Common Stock 2016-09-30 4 A 0 23829 0.00 A 56414 D Common Stock 2016-09-30 4 D 0 37000 16.50 D 19414 D Common Stock 2016-09-30 4 D 0 19414 16.50 D 0 D Non-Qualified Stock Option (right to buy) 10.39 2016-09-30 4 D 0 3000 6.11 D 2016-12-08 Common Stock 3000 0 D Non-Qualified Stock Option (right to buy) 14.27 2016-09-30 4 D 0 25000 2.23 D 2018-03-10 Common Stock 10000 0 D Non-Qualified Stock Option (right to buy) 16.02 2016-09-30 4 D 0 15000 0.48 D 2019-06-02 Common Stock 15000 0 D Represents unvested performance restricted stock units (PRSUs) granted on January 28, 2016 that represented a contingent right to receive one share of common stock per PRSU. Pursuant to the Agreement and Plan of Merger, dated as of July 26, 2016, by and among Epiq Systems, Inc., Document Technologies, LLC and DTI Merger Sub, Inc. (the "Merger Agreement") and the applicable award agreement, these PRSUs became fully vested at the effective time of the merger. Pursuant to the Merger Agreement, these shares were canceled and converted into the right to receive $16.50 per share in cash, without interest and less any applicable withholding taxes (the "Merger Consideration"). Pursuant to the Merger Agreement, these shares of unvested restricted stock became fully vested at the effective time of the merger and were canceled and converted into the right to receive the Merger Consideration. Represents an exercisable option, which vested in four equal annual installments commencing on December 8, 2008. The option was cancelled pursuant to the Merger Agreement in exchange for a cash payment of $6.11 per share subject to the option. This per share price represents the difference between the applicable exercise price of the option and the Merger Consideration. Represents an exercisable option, which vested in four equal annual installments commencing on March 10, 2010. The option was cancelled pursuant to the Merger Agreement in exchange for a cash payment of $2.23 per share subject to the option. This per share price represents the difference between the applicable exercise price of the option and the Merger Consideration. Represents an exercisable option, which vested in five equal annual installments commencing on June 2, 2012. The option was cancelled pursuant to the Merger Agreement in exchange for a cash payment of $0.48 per share subject to the option. This per share price represents the difference between the applicable exercise price of the option and the Merger Consideration. /s/ Jayne L. Rothman 2016-09-30