| Company | Affected Security | Settlement Amount |
|---|---|---|
| Casper Sleep Inc. | $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 |
| 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 |
| 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 |
| 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 |
| Alger Mutual Funds | NASDAQ: ACAAX, NASDAQ: ALBAX, NASDAQ: ALGAX, NASDAQ: ALSAX, NASDAQ: AMGAX | $2,950,000.00 |
| Walter Investment Management Corp | NYSE: WAC | $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 |
| iAnthus Capital Holdings, Inc. (OTC: ITHUF | OTC: ITHUF | $2,900,000.00 |
| SiRF Technology Holdings | NASDAQ: SIRF | $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 |
| AtriCure Inc | NASDAQ: ATRC | $2,750,000.00 |
| Camelot Information Systems Inc (ADS) | NYSE: CIS | $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 |
| Natural Health Trends Corp. | NASDAQ: BHIP | $2,750,000.00 |
| Hemispherx BioPharma, Inc. | AMEX: HEB | $2,750,000.00 |
| Terayon Communication Systems, Inc. | OTC: TERN | $2,730,000.00 |
| InterCloud Systems Inc | NASDAQ: ICLD | $2,700,000.00 |
| Yuhe International, Inc. | NASDAQ: YUII | $2,700,000.00 |
| Growlife Inc | OTC: PHOT | $2,700,000.00 |
| GMX Resources Inc. | NYSE: GMXR | $2,700,000.00 |
| Akari Therapeutics PLC | NASDAQ: AKTX | $2,700,000.00 |
| Keyuan Petrochemicals, Inc. | NASDAQ: KEYP | $2,650,000.00 |
| Aclaris Therapeutics, Inc. | NASDAQ: ACRS | $2,650,000.00 |
| Neustar Inc | NYSE: NSR | $2,625,000.00 |
| Olympus Corp | OTC: OCPNY | $2,603,500.00 |
| Tennessee Commerce Bancorp, Inc. | OTC: TNCC | $2,600,000.00 |
| THQ Inc. | NASDAQ: THQI | $2,600,000.00 |
| Avid Technology, Inc. | NASDAQ: AVID | $2,595,000.00 |