| 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 |