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Case Settlements by Amount

Company Affected Security Settlement Amount
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
GT Advanced Technologies Inc NASDAQ: GTAT $3,500,000.00
Loral Space & Communications, Ltd. NASDAQ: LORL $3,450,000.00
Body Central Corp NASDAQ: BODY $3,425,000.00
Ampio Pharmaceuticals Inc NYSEMKT: AMPE $3,400,000.00
CIB Marine Bancshares, Inc. OTC: CIBH $3,400,000.00
Industrial Enterprises of America Inc. OTC: IEAM $3,400,000.00
Oppenheimer Holdings Inc. $3,374,000.00
SCWorx Corp. NASDAQ: WORX $3,300,000.00
Textura Corp NYSE: TXTR $3,300,000.00
Maxwell Technologies, Inc. NASDAQ: MXWL $3,300,000.00
Roka Bioscience Inc NASDAQ: ROKA $3,275,000.00
Braintree Energy $3,269,900.00
Lion Biotechnologies Inc NASDAQ: LBIO $3,250,000.00
Orion Energy Systems NASDAQ: OESX $3,250,000.00
Fushi Copperweld, Inc. NASDAQ: FSIN $3,250,000.00
Intrusion Inc. NASDAQ: INTZ $3,250,000.00
GSI Group Inc. NASDAQ: GSIG $3,250,000.00
Oracle Corporation NASDAQ: ORCL $3,250,000.00
TranS1 Inc. NASDAQ: TSON $3,250,000.00
Sourcefire NASDAQ: FIRE $3,200,000.00
Delta Petroleum Corp. OTC: DPTRQ $3,200,000.00
Motorola NYSE: MOT $3,150,000.00
BIDZ.com, Inc. NASDAQ: BIDZ $3,150,000.00
New Oriental Education & Tech Grp NYSE: EDU $3,150,000.00
Obalon Therapeutics Inc NASDAQ: OBLN $3,150,000.00
Powerwave Technologies NASDAQ: PWAV $3,150,000.00
Rocket Fuel Inc NASDAQ: FUEL $3,150,000.00
TierOne Corporation OTC: TONE $3,100,000.00
Ormat Technologies, Inc. NYSE: ORA $3,100,000.00
Loop Industries, Inc. NASDAQ: LOOP $3,100,000.00
Westpac Banking Corporation NYSE: WBK $3,100,000.00
INH-Interholding SA $3,075,840.00
BankUnited Financial Corp. NASDAQ: BKUNA $3,057,000.00
Addus HomeCare Corporation NASDAQ: ADUS $3,000,000.00
Ocean Power Technologies Inc NASDAQ: OPTT $3,000,000.00
Retrophin Inc NASDAQ: RTRX $3,000,000.00
Ability Inc NASDAQ: ABIL $3,000,000.00
PLDT Inc. NYSE: PHI $3,000,000.00
22nd Century Group, Inc NYSE: XXII $3,000,000.00
SatCon Technology Corporation NASDAQ: SATC $3,000,000.00
Bakkt Holdings, Inc. NYSE: BKKT $3,000,000.00
SOURCECORP Inc. NASDAQ: SRCP $3,000,000.00
Tongxin International Ltd. OTC: TXIC, PINK: TXIC $3,000,000.00
ShoreTel NASDAQ: SHOR $3,000,000.00
China Finance Online Co. NASDAQ: JRJC $3,000,000.00
Wonder Auto Technology, Inc. NASDAQ: WATG $3,000,000.00