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Case Settlements by Amount

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