| Company | Affected Security | Settlement Amount |
|---|---|---|
| Sunrise Senior Living | NYSE: SRZ | $13,500,000.00 |
| Amyris Inc | NASDAQ: AMRS | $13,500,000.00 |
| Magma Design Automation, Inc. | NASDAQ: LAVA | $13,500,000.00 |
| Advanta Corp. | NASDAQ: ADVNA, NASDAQ: ADVNB | $13,250,000.00 |
| Toronto-Dominion Bank | NYSE: TD | $13,250,000.00 |
| Blue Apron Holdings Inc | NYSE: APRN | $13,250,000.00 |
| Arctic Glacier Income Fund | OTC: AGUNF | $13,206,900.00 |
| Apollo Group Inc (NASDAQ:APOL | NASDAQ: APOL | $13,125,000.00 |
| Precigen, Inc. | NASDAQ: PGEN | $13,000,000.00 |
| BancorpSouth, Inc. | NYSE: BXS | $13,000,000.00 |
| Performance Sports Group Ltd | NYSE: PSG | $13,000,000.00 |
| Navistar International Corporation | NYSE: NAV | $13,000,000.00 |
| Canopy Growth Corporation | NYSE: CGC | $13,000,000.00 |
| Constant Contact, Inc. | NASDAQ: CTCT | $13,000,000.00 |
| Sonoco Products Company | NYSE: SON | $13,000,000.00 |
| LaBranche & Co., Inc. | NYSE: LAB | $13,000,000.00 |
| Knight Capital Group Inc. | NYSE: KCG | $13,000,000.00 |
| Knight Capital Group Inc. | NYSE: KCG | $13,000,000.00 |
| UTi Worldwide Inc. | NASDAQ: UTIW | $13,000,000.00 |
| Giant Interactive Group | NYSE: GA | $13,000,000.00 |
| LJM Preservation and Growth Fund Class I | $12,850,000.00 | |
| KV Pharmaceutical Co. | NYSE: KV-A, NYSE: KV-B | $12,800,000.00 |
| Connetics Inc. | NASDAQ: CNCT | $12,750,000.00 |
| Columbia Funds Distributor Inc. | $12,653,000.00 | |
| ITT Educational Services, Inc. | NYSE: ESI | $12,537,500.00 |
| OmniVision Technologies, Inc. | NASDAQ: OVTI | $12,500,000.00 |
| Camping World Holdings, Inc. | NYSE: CWH | $12,500,000.00 |
| NetBank Inc | NASDAQ: NTBK | $12,500,000.00 |
| International Game Technology | NYSE: IGT | $12,500,000.00 |
| Anadarko Petroleum Corporation | NYSE: APC | $12,500,000.00 |
| Sterling Bancorp (Southfield, MI) | NASDAQ: SBT | $12,500,000.00 |
| Northwest Pipe Company | NASDAQ: NWPX | $12,500,000.00 |
| Odonate Therapeutics, Inc. | NASDAQ: ODT | $12,500,000.00 |
| CommVault Systems, Inc. | NASDAQ: CVLT | $12,500,000.00 |
| OSI Systems, Inc. | NASDAQ: OSIS | $12,500,000.00 |
| Arena Pharmaceuticals, Inc. | NASDAQ: ARNA | $12,025,000.00 |
| Vaxart, Inc. | NASDAQ: VXRT | $12,015,000.00 |
| Abercrombie and Fitch | NYSE: ANF | $12,000,000.00 |
| Barrett Business Services, Inc. | NASDAQ: BBSI | $12,000,000.00 |
| Children's Place Retail Stores | NASDAQ: PLCE | $12,000,000.00 |
| Nantkwest Inc | NASDAQ: NK | $12,000,000.00 |
| Imax Corporation | NASDAQ: IMAX | $12,000,000.00 |
| Marrone Bio Innovations Inc | NASDAQ: MBII | $12,000,000.00 |
| Tesco PLC | OTC: TSCDY | $12,000,000.00 |
| Lexmark International Inc | NYSE: LXK | $12,000,000.00 |
| Assisted Living Concepts, Inc. | NYSE: ALC | $12,000,000.00 |
| China MediaExpress Holdings Inc. | NASDAQ: CCME | $12,000,000.00 |
| Thoratec Corporation | NASDAQ: THOR | $11,900,000.00 |
| Synovus Financial Corp. | NYSE: SNV | $11,750,000.00 |
| Thornburg Mortgage | NYSE: TMA | $11,250,000.00 |