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Case Settlements by Amount

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