| Company | Affected Security | Settlement Amount |
|---|---|---|
| Aegerion Pharmaceuticals, Inc. | NASDAQ: AEGR | $22,250,000.00 |
| Clover Health Investments, Corp. | NASDAQ: CLOV | $22,000,000.00 |
| Accredited Home Lenders Holding Company | NASDAQ: LEND | $22,000,000.00 |
| Virtus Investment Partners Inc | NASDAQ: VRTS | $22,000,000.00 |
| Nomura Asset | $21,200,000.00 | |
| Dell Inc. | NASDAQ: DELL | $21,000,000.00 |
| Gatos Silver, Inc. | NYSE: GATO | $21,000,000.00 |
| Flowers Foods, Inc. | NYSE: FLO | $21,000,000.00 |
| Sesen Bio, Inc. | NASDAQ: SESN | $21,000,000.00 |
| Tower Group International, Ltd. | NASDAQ: TWGP | $20,500,000.00 |
| Molycorp, Inc. | NYSE: MCP | $20,500,000.00 |
| Invesco Ltd. | NYSE: IVZ | $20,455,400.00 |
| Petco Health and Wellness Company, Inc. | NASDAQ: PETC | $20,250,000.00 |
| Take-Two Interactive Software, Inc. | NASDAQ: TTWO | $20,115,000.00 |
| IMPINJ Inc | NASDAQ: PI | $20,000,000.00 |
| Roadrunner Transportation Systems Inc | NYSE: RRTS | $20,000,000.00 |
| IBM | NYSE: IBM | $20,000,000.00 |
| Genworth Financial Inc | NYSE: GNW | $20,000,000.00 |
| Sealed Air Corporation | NYSE: SEE | $20,000,000.00 |
| Lifelock Inc | NYSE: LOCK | $20,000,000.00 |
| Carter's Inc. | NYSE: CRI | $20,000,000.00 |
| Semtech Corporation | NASDAQ: SMTC | $20,000,000.00 |
| El Pollo LoCo Holdings Inc | NASDAQ: LOCO | $20,000,000.00 |
| Pluralsight, Inc | NASDAQ: PS | $20,000,000.00 |
| ProQuest (Voyager Learning Company) | OTC: VLCY | $20,000,000.00 |
| Grana y Montero SAA | NYSE: GRAM | $20,000,000.00 |
| CTI BioPharma Corp | NASDAQ: CTIC | $20,000,000.00 |
| Live Nation Entertainment, Inc. | NYSE: LYV | $20,000,000.00 |
| BP P.L.C. | NYSE: BP | $20,000,000.00 |
| Sinotech Energy Ltd ADR | NASDAQ: CTE | $20,000,000.00 |
| Bankrate, Inc. | NASDAQ: RATE | $20,000,000.00 |
| Openwave Systems Inc | NASDAQ: OPWV | $20,000,000.00 |
| Penn West Petroleum Ltd | NYSE: PWE | $19,759,300.00 |
| Banc of California Inc | NYSE: BANC | $19,750,000.00 |
| SunPower Corporation | NASDAQ: SPWRA, NASDAQ: SPWRB | $19,700,000.00 |
| Barclays Bank Plc | NYSE: BCS | $19,500,000.00 |
| Insulet Corporation | NASDAQ: PODD | $19,500,000.00 |
| Lockheed Martin Corporation | NYSE: LMT | $19,500,000.00 |
| TechnipFMC plc | NYSE: FTI | $19,500,000.00 |
| Babcock & Wilcox Enterprises Inc | NYSE: BW | $19,500,000.00 |
| Virgin Mobile USA, Inc. | NYSE: VM | $19,500,000.00 |
| Cell Therapeutics, Inc. | NASDAQ: CTIC | $19,000,000.00 |
| Imperva Inc | NYSE: IMPV | $19,000,000.00 |
| Quality Systems, Inc. | NASDAQ: QSII | $19,000,000.00 |
| Synchronoss Technologies Inc. | NASDAQ: SNCR | $19,000,000.00 |
| Daimler AG | OTCMKTS: DDAIF, OTCMKTS: DDAIY | $19,000,000.00 |
| Chiasma Inc | NASDAQ: CHMA | $18,750,000.00 |
| Endurance International Group Hldgs Inc | NASDAQ: EIGI | $18,650,000.00 |
| King Digital Entertainment PLC | NYSE: KING | $18,500,000.00 |
| Bayer AG | OTC: BAYRY | $18,500,000.00 |