| Company | Affected Security | Settlement Amount |
|---|---|---|
| Namaste Technologies Inc. | OTC: NXTTF | $4,900,000.00 |
| Missfresh Limited | NASDAQ: MF | $4,900,000.00 |
| State Street Corporation | NYSE: STT | $4,900,000.00 |
| EZCORP Inc | NASDAQ: EZPW | $4,875,000.00 |
| WSB Financial Group | NASDAQ: WSFG | $4,850,000.00 |
| Orexigen Therapeutics, Inc. | NASDAQ: OREX | $4,800,000.00 |
| American Apparel, Inc. | AMEX: APP | $4,800,000.00 |
| Dada Nexus Limited | NASDAQ: DADA | $4,800,000.00 |
| Dyadic International | OTC: DYAI | $4,800,000.00 |
| Akeena Solar, Inc. | NASDAQ: AKNS | $4,770,000.00 |
| JAMDAT Mobile, Inc. | NASDAQ: JMDT | $4,750,000.00 |
| Impax Laboratories Inc | NASDAQ: IPXL | $4,750,000.00 |
| Peabody Energy Corporation | NYSE: BTU | $4,625,000.00 |
| KiOR Inc | NASDAQ: KIOR | $4,500,000.00 |
| Avaya Inc | NYSE: AV | $4,500,000.00 |
| New Oriental Education & Tech Grp | NYSE: EDU | $4,500,000.00 |
| Wireless Facilities | NASDAQ: WFII | $4,500,000.00 |
| Matrixx Initiatives, Inc. | NASDAQ: MTXX | $4,500,000.00 |
| Dynagas LNG Partners LP | NYSE: DLNG | $4,500,000.00 |
| Dynavax Technologies Corporation | NASDAQ: DVAX | $4,500,000.00 |
| JA Solar Holdings Co. LTD | NASDAQ: JASO | $4,500,000.00 |
| Matrixx Initiatives, Inc. | NASDAQ: MTXX | $4,500,000.00 |
| AMEX: BKR | $4,500,000.00 | |
| Sonus Networks, Inc. | NASDAQ: SONS | $4,500,000.00 |
| Matrixx Initiatives, Inc. | NASDAQ: MTXX | $4,500,000.00 |
| Franklin Templeton Funds | $4,437,370.00 | |
| Isolagen Inc | AMEX: ILE | $4,425,000.00 |
| Unilife Corp | NASDAQ: UNIS | $4,400,000.00 |
| Oppenheimer Holdings Inc. | $4,341,000.00 | |
| BioForm Medical Inc. | NASDAQ: BFRM | $4,301,250.00 |
| The Medicines Company | NASDAQ: MDCO | $4,250,000.00 |
| FCStone Group | NASDAQ: FCSX | $4,250,000.00 |
| Lipocine Inc | NASDAQ: LPCN | $4,250,000.00 |
| Intuitive Surgical, Inc. | NASDAQ: ISRG | $4,250,000.00 |
| Oppenheimer Holdings Inc. | $4,241,000.00 | |
| Leadis Technology | NASDAQ: LDIS | $4,200,000.00 |
| China Expert Technology Inc. | OTC: CXTI | $4,200,000.00 |
| Ener1, Inc. | NASDAQ: HEV | $4,200,000.00 |
| Restoration Robotics, Inc. | NASDAQ: HAIR | $4,175,000.00 |
| iDreamSky Technology Ltd | NASDAQ: DSKY | $4,150,000.00 |
| Universal Travel Group | NYSE: UTA | $4,075,000.00 |
| Liquid Holdings Group Inc | NASDAQ: LIQD | $4,062,500.00 |
| Zynerba Pharmaceuticals, Inc. | NASDAQ: ZYNE | $4,000,000.00 |
| Signalife Inc. | OTC: SGAL | $4,000,000.00 |
| DVI Inc. | OTC: DVIXQ | $4,000,000.00 |
| Allegiant Travel Company | NASDAQ: ALGT | $4,000,000.00 |
| Greenfield Online | NASDAQ: SRVY | $4,000,000.00 |
| JELD-WEN Holding, Inc. | NYSE: JELD | $4,000,000.00 |
| NexCen Brands | NASDAQ: NEXC | $4,000,000.00 |
| Constellation Energy Group Inc. | NYSE: CEG | $4,000,000.00 |