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Case Settlements by Amount

Company Affected Security Settlement Amount
Loop Industries, Inc. NASDAQ: LOOP $3,100,000.00
INH-Interholding SA $3,075,840.00
BankUnited Financial Corp. NASDAQ: BKUNA $3,057,000.00
Nabriva Therapeutics plc NASDAQ: NBRV $3,000,000.00
Bloom Energy Corporation NYSE: BE $3,000,000.00
Wonder Auto Technology, Inc. NASDAQ: WATG $3,000,000.00
Meta Materials Inc. NASDAQ: MMAT $3,000,000.00
CIBER, Inc. NYSE: CBR $3,000,000.00
Cadiz Inc. NASDAQ: CDZI $3,000,000.00
United Microelectronics Corporation NYSE: UMC $3,000,000.00
FAT Brands Inc NASDAQ: FAT $3,000,000.00
Skilled Healthcare Group, Inc. NYSE: SKH $3,000,000.00
22nd Century Group, Inc NYSE: XXII $3,000,000.00
Bakkt Holdings, Inc. NYSE: BKKT $3,000,000.00
Sturm, Ruger & Company, Inc. NYSE: RGR $3,000,000.00
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
Humanigen, Inc. NASDAQ: HGEN $3,000,000.00
SatCon Technology Corporation NASDAQ: SATC $3,000,000.00
Tongxin International Ltd. OTC: TXIC, PINK: TXIC $3,000,000.00
SOURCECORP Inc. NASDAQ: SRCP $3,000,000.00
ShoreTel NASDAQ: SHOR $3,000,000.00
China Finance Online Co. NASDAQ: JRJC $3,000,000.00
Apyx Medical Corporation NASDAQ: APYX $3,000,000.00
Spectrum Pharmaceuticals, Inc. NASDAQ: SPPI $2,995,000.00
MiMedx Group Inc NASDAQ: MDXG $2,979,000.00
Caraco Pharmaceutical Laboratories Ltd. AMEX: CPD $2,975,000.00
Walter Investment Management Corp NYSE: WAC $2,950,000.00
Alger Mutual Funds NASDAQ: ACAAX, NASDAQ: ALBAX, NASDAQ: ALGAX, NASDAQ: ALSAX, NASDAQ: AMGAX $2,950,000.00
Miller Energy Resources, Inc NYSE: MILL $2,950,000.00
ACADIA Pharmaceuticals Inc. NASDAQ: ACAD $2,925,000.00
Arotech Corporation NASDAQ: ARTX $2,900,000.00
SiRF Technology Holdings NASDAQ: SIRF $2,900,000.00
iAnthus Capital Holdings, Inc. (OTC: ITHUF OTC: ITHUF $2,900,000.00
Albany Molecular Research, Inc. NASDAQ: AMRI $2,868,000.00
Lihua International, Inc. NASDAQ: LIWA $2,865,000.00
New Source Energy Partners LP( OTCMKTS: NSLP $2,850,000.00
Xethanol Corporation AMEX: XNL $2,800,000.00
Health Insurance Innovations Inc NASDAQ: HIIQ $2,800,000.00
Suffolk Bancorp NASDAQ: SUBK $2,800,000.00
Innocoll Holdings PLC NASDAQ: INNL $2,755,000.00
Hemispherx BioPharma, Inc. AMEX: HEB $2,750,000.00
Natural Health Trends Corp. NASDAQ: BHIP $2,750,000.00
Camelot Information Systems Inc (ADS) NYSE: CIS $2,750,000.00
AtriCure Inc NASDAQ: ATRC $2,750,000.00
HQ Sustainable Maritime Industries, Inc. AMEX: HQS $2,750,000.00
SearchMedia Holdings Limited AMEX: IDI $2,750,000.00
Resonant Inc NASDAQ: RESN $2,750,000.00