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Case Settlements by Amount

Company Affected Security Settlement Amount
Nevsun Resources (USA) NYSEAMEX: NSU $5,995,000.00
Star Scientific, Inc. NASDAQ: STSI $5,900,000.00
EZCORP Inc NASDAQ: EZPW $5,900,000.00
Global Cash Access Holdings NYSE: GCA $5,875,000.00
American Renal Associates Holdings Inc NYSE: ARA $5,775,000.00
CytRx Corporation NASDAQ: CYTR $5,750,000.00
Amaya Inc NASDAQ: AYA $5,750,000.00
Qurate Retail Group, Inc NASDAQ: QRTEA $5,750,000.00
Aerohive Networks Inc NYSE: HIVE $5,750,000.00
Panera Bread Co NASDAQ: PNRA $5,750,000.00
Capstone Turbine Corporation NASDAQ: CPST $5,550,000.00
IndyMac Bancorp Inc. NYSE: IMB $5,500,000.00
First Regional Bancorp OTC: FRGBQ $5,500,000.00
LeapFrog Enterprises, Inc NYSE: LF $5,500,000.00
Celadon Group, Inc. NYSE: CGI $5,500,000.00
Swisher Hygiene, Inc. NASDAQ: SWSH $5,500,000.00
Chelsea Therapeutics International Ltd. NASDAQ: CHTP $5,500,000.00
Forterra Inc NASDAQ: FRTA $5,500,000.00
Digital Domain Media Group Inc NYSE: DDMG $5,500,000.00
Rydex Inverse Government Long Bond Strategy Fund $5,500,000.00
JBS SA OTCMKTS: JBSAY $5,466,600.00
JBS SA OTCMKTS: JBSAY $5,466,600.00
Nations Investments LLC $5,400,000.00
Global Geophysical Services, Inc. NYSE: GGS $5,300,000.00
Actrade Financial Technologies Ltd NASDAQ: ACRT $5,250,000.00
Canadian Superior Energy Inc. AMEX: SNG $5,200,000.00
Duoyuan Global Water, Inc . NYSE: DGW $5,150,000.00
First Trust Strategic High Income Fund NYSE: FHI, NYSE: FHO, NYSE: FHY $5,150,000.00
Epocrates, Inc. NASDAQ: EPOC $5,100,000.00
NQ Mobile Inc (ADR) NYSE: NQ $5,100,000.00
Home Solutions of America OTC: HSOA $5,100,000.00
JinkoSolar Holding Co., Ltd. NYSE: JKS $5,050,000.00
Momo Inc. NASDAQ: MOMO $5,000,000.00
Home Point Capital Inc. NASDAQ: HMPT $5,000,000.00
TomoTherapy NASDAQ: TOMO $5,000,000.00
Vestas Wind Systems A/S OTC: VWDRY, OTC: VWSYF, PINK: VWDRY, PINK: VWSYF $5,000,000.00
Suntech Power Holdings Co. LTD NYSE: STP $5,000,000.00
Atlas Financial Holdings Inc NASDAQ: AFH $5,000,000.00
Ryanair Holdings plc NASDAQ: RYAAY $5,000,000.00
Levi Strauss & Co. OTC: LVISF $5,000,000.00
Ruby Tuesday, Inc. NYSE: RT $5,000,000.00
Exela Technologies, Inc. NASDAQ: XELA $5,000,000.00
Exodus Communications $5,000,000.00
Fiat Chrysler Automobiles NV NYSE: FCAU $5,000,000.00
FalconStor Software, Inc. NASDAQ: FALC $5,000,000.00
Mesa Air Group, Inc. NASDAQ: MESA $5,000,000.00
Ikanos Communications NASDAQ: IKAN $5,000,000.00
Ideanomics, Inc. NASDAQ: IDEX $5,000,000.00
Beckman Coulter, Inc. NYSE: BEC $5,000,000.00
Jumia Technologies AG NASDAQ: JMIA $5,000,000.00