| Company | Affected Security | Settlement Amount |
|---|---|---|
| UniTek Global Services Inc. | NASDAQ: UNTK | $1,550,000.00 |
| Lightinthebox Holding Co Ltd | NYSE: LITB | $1,550,000.00 |
| Alliance MMA Inc | NASDAQ: AMMA | $1,550,000.00 |
| Audioeye Inc | OTC: AEYE | $1,525,000.00 |
| China Valves Technology, Inc. | NASDAQ: CVVT | $1,500,000.00 |
| Bluenrgy Group Ltd | OTCMKTS: CBDEF | $1,500,000.00 |
| Pilgrims Pride Corp. | NYSE: PPC | $1,500,000.00 |
| Northfield Laboratories, Inc. | NASDAQ: NFLD | $1,500,000.00 |
| Globalstar | NASDAQ: GSAT | $1,500,000.00 |
| Altair Nanotechnologies Inc | OTC: ALTI | $1,500,000.00 |
| KaloBios Pharmaceuticals Inc | NASDAQ: KBIO | $1,500,000.00 |
| NutraCea | OTC: NTRZ | $1,500,000.00 |
| China Natural Gas, Inc. | NASDAQ: CHNG | $1,500,000.00 |
| Acura Pharmaceuticals, Inc. | NASDAQ: ACUR | $1,500,000.00 |
| Merix Corporation | $1,500,000.00 | |
| Fab Universal Corp | AMEX: FU, NYSEMKT: FU | $1,500,000.00 |
| Kraton Corp | NYSE: KRA | $1,500,000.00 |
| China Mobile Games & Entnmnt Grp Ltd | NASDAQ: CMGE | $1,500,000.00 |
| Active Power, Inc. | NASDAQ: ACPW | $1,500,000.00 |
| PhotoMedex Inc | NASDAQ: PHMD | $1,500,000.00 |
| CBD Energy Ltd | NASDAQ: CBDE, OTCMKTS: CBDEF | $1,500,000.00 |
| Ambow Education Holding Ltd | NYSE: AMBO | $1,500,000.00 |
| Quiksilver, Inc. | NYSE: ZQK | $1,500,000.00 |
| Sogou Inc. | NYSE: SOGO | $1,450,000.00 |
| Deer Consumer Products, Inc. | NASDAQ: DEER | $1,425,000.00 |
| NextWave Wireless Inc. | NASDAQ: WAVE | $1,400,000.00 |
| China-Biotics, Inc. | NASDAQ: CHBT | $1,400,000.00 |
| GlobalSCAPE, Inc. | NYSEMKT: GSB | $1,400,000.00 |
| Longeveron Inc. | NASDAQ: LGVN | $1,397,500.00 |
| Dropbox, Inc. | NASDAQ: DBX | $1,375,000.00 |
| International Coal Group | NYSE: ICO | $1,375,000.00 |
| International Coal Group | NYSE: ICO | $1,375,000.00 |
| GEROVA Financial Group, Ltd. | NYSE: GFC | $1,372,000.00 |
| Pixelplus Co., Ltd. | NASDAQ: PXPL | $1,355,000.00 |
| Innovative Capital Management, LLC. | $1,350,000.00 | |
| NIVS IntelliMedia Technology Group Inc | NYSE: NIV | $1,350,000.00 |
| Longwei Petroleum Investment Hold Ltd | AMEX: LPH | $1,340,000.00 |
| Quogue Capital | $1,334,060.00 | |
| Avid Technology, Inc. | NASDAQ: AVID | $1,325,000.00 |
| Code Rebel Corp | NASDAQ: CDRB | $1,300,000.00 |
| Aterian, Inc. | NASDAQ: MWK | $1,300,000.00 |
| Allot Communications | NASDAQ: ALLT | $1,300,000.00 |
| CP Ships Ltd. | $1,300,000.00 | |
| Agria Corporation | NYSE: GRO | $1,300,000.00 |
| Cocrystal Pharma, Inc. | NASDAQ: COCP | $1,265,000.00 |
| Wins Finance Holdings Inc | NASDAQ: WINS | $1,260,000.00 |
| NeurogesX, Inc. | NASDAQ: NGSX | $1,250,000.00 |
| Biovest International Inc | OTC: ABPI, OTC: BVTIQ | $1,250,000.00 |
| Arlo Technologies, Inc. | NYSE: ARLO | $1,250,000.00 |
| Vivint Solar Inc | NYSE: VSLR | $1,250,000.00 |