| Company | Affected Security | Settlement Amount |
|---|---|---|
| Neptune Wellness Solutions Inc. | NASDAQ: NEPT | $4,000,000.00 |
| 3D Systems Corporation | NYSE: DDD | $4,000,000.00 |
| Immunomedics, Inc. | NASDAQ: IMMU | $4,000,000.00 |
| Hovnanian Enterprises | NYSE: HOV | $4,000,000.00 |
| ModusLink Global Solutions, Inc. | NASDAQ: MLNK | $4,000,000.00 |
| American Renal Associates Holdings Inc | NYSE: ARA | $4,000,000.00 |
| Advanced Emissions Solutions, Inc. | NASDAQ: ADES | $3,950,000.00 |
| Broadwind Energy Inc. | NASDAQ: BWEN | $3,915,000.00 |
| Accretive Health, Inc. | NYSE: AH | $3,900,000.00 |
| Immucor, Inc. | NASDAQ: BLUD | $3,900,000.00 |
| Energy Recovery, Inc. | NASDAQ: ERII | $3,850,000.00 |
| Candela Corporation | NASDAQ: CLZR | $3,850,000.00 |
| CHC Group Ltd | NYSE: HELI | $3,850,000.00 |
| Industrial Enterprises of America Inc. | OTC: IEAM | $3,800,000.00 |
| TeleNav, Inc. | NASDAQ: TNAV | $3,800,000.00 |
| Hi-Crush Partners LP | NYSE: HCLP | $3,800,000.00 |
| InfoSonics Corp. | NASDAQ: IFON | $3,800,000.00 |
| Westland Development Company, Inc. | $3,778,700.00 | |
| China Electric Motor, Inc. | NASDAQ: CELM | $3,778,330.00 |
| Amicus Therapeutics, Inc. | NASDAQ: FOLD | $3,750,000.00 |
| AMAG Pharmaceuticals, Inc. | NASDAQ: AMAG | $3,750,000.00 |
| AAC Holdings Inc | NYSE: AAC | $3,750,000.00 |
| Armstrong Flooring, Inc. | NYSE: AFI | $3,750,000.00 |
| Blink Charging Co. | NASDAQ: BLNK | $3,750,000.00 |
| Agria Corporation | NYSE: GRO | $3,750,000.00 |
| Ormat Technologies, Inc. | NYSE: ORA | $3,750,000.00 |
| Oclaro, Inc. | NASDAQ: OCLR | $3,700,000.00 |
| Focus Media Holding | NASDAQ: FMCN | $3,700,000.00 |
| WMS Industries Inc. | NYSE: WMS | $3,700,000.00 |
| Rockwell Medical Inc | NASDAQ: RMTI | $3,700,000.00 |
| A-Power Energy Generation Systems, Ltd. | NASDAQ: APWR | $3,675,000.00 |
| magicJack VocalTec Ltd | NASDAQ: CALL | $3,650,000.00 |
| $3,632,600.00 | ||
| Secure Computing Corporation | NASDAQ: SCUR | $3,600,000.00 |
| Xerium Technologies Inc | NYSE: XRM | $3,600,000.00 |
| Hemispherx BioPharma, Inc. | AMEX: HEB | $3,600,000.00 |
| HearUSA, Inc. | OTC: HEARQ | $3,600,000.00 |
| Global Payments Inc. | NYSE: GPN | $3,600,000.00 |
| CPI Aerostructures, Inc. | NYSE: CVU | $3,600,000.00 |
| Swank Capital, LLC | NYSE: SRV | $3,600,000.00 |
| SAExploration Holdings, Inc. | NASDAQ: SAEX | $3,550,000.00 |
| Advanta Corp. | $3,550,000.00 | |
| IsoRay, Inc. | NYSEMKT: ISR | $3,537,500.00 |
| Atossa Genetics Inc | NASDAQ: ATOS | $3,500,000.00 |
| Catalyst Pharmaceutical Partners, Inc. | NASDAQ: CPRX | $3,500,000.00 |
| Provectus Pharmaceuticals, Inc. | OTC: PVCT | $3,500,000.00 |
| K12 Inc. | NYSE: LRN | $3,500,000.00 |
| Tarena International Inc | NASDAQ: TEDU | $3,500,000.00 |
| Sunlight Financial Holdings Inc. | NYSE: SUNL | $3,500,000.00 |
| Ixia | NASDAQ: XXIA | $3,500,000.00 |