Settlements

For informational purposes only; prior results do not guarantee a similar outcome.

More 2014 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Sino-Forest Corporation All persons and entities, wherever they may reside, who acquired the common shares, notes, or other securities of Sino-Forest Corporation during the Class Period:
a) by distribution in Canada or on the Toronto Stock Exchange or other secondary market in
Canada, which includes securities acquired over-the-counter or
b) who are resident of Canada or were resident of Canada at the time of acquisition and who
acquired Sino-Forest’s securities outside of Canada.
$3,786,216.00
Millennium Global Emerging
Funds
All persons or entities that subscribed for, owned, beneficially owned, controlled, possessed,
received, inherited, or otherwise acquired shares in Millennium Global Emerging Credit Fund
Ltd. or limited partnership interests in Millennium Global Emerging Credit Fund, L.P.
$14,750,000.00
Enterprise GP Holdings L.P. All unitholders of Enterprise GP Holdings L.P. who held units on May 7, 2007, October 26,
2009, or November 22, 2010.
$12,400,000.00
Maxam Absolute Return Fund, L.P. All limited partners in Maxam Absolute Return Fund, L.P. who purchased and/or otherwise
held interests in MARF, who were limited partners in MARF as of December 10, 2008, and
who suffered a net loss of equity in their investments.
$1,601,372.00
Still Water Funds (Gerova
Financial Group Ltd.)
6/16/2014 “Consolidated Class”: On behalf of all persons or entities who invested in any of the
Stillwater Funds and whose interests in any of the Stillwater Funds were transferred in the
transactions between Stillwater Capital Partners, Inc., or Stillwater Capital Partners, LLC
and Gerova Financial Group, Ltd. consummated on January 20, 2010, and who (1)
submitted a request for full or partial redemption of their accounts in the Stillwater Funds
prior to December 23, 2009 and have not been paid in full on those redemption requests
and/or (2) received Gerova Series A Preferred Stock, which was converted or was to be
converted into restricted, unregistered Gerova ordinary shares; and”Goldberg Class”: all persons or entities who were investors in the Stillwater Funds who
were promised the common stock of Gerova in exchange for their interests in the Stillwater
Funds pursuant to a share exchange agreement dated on or about December 23, 2009, and
that was completed on January 20, 2010.
$2,058,000.00
Cybex International, Inc. 6/21/2014 All holders of Cybex International, Inc. common stock on or before October 17, 2012 and
continued to maintain ownership of this common stock through February 7, 2013, the date
that shares of Cybex were converted to the right to receive $2.55 in cash pursuant to a
merger agreement between the Company and UM Holdings, Ltd.
$1,830,000.00
China Green Agriculture 7/9/2014 All persons or entities who purchased or otherwise acquired China Green Agriculture, Inc.
publicly traded securities from May 12, 2009 to January 4, 2011, inclusive.
$2,500,000.00
Hospira, Inc. 7/21/2014 All persons who purchased or otherwise acquired the common stock of Hospira, Inc. from
February 4, 2010 to October 17, 2011, inclusive.
$60,000,000.00
Chanticleer Holdings, Inc. 7/24/2014 All persons and entities who purchased or otherwise acquired Chanticleer Holdings, Inc.
securities either (i) pursuant and/or traceable to the Company’s June 21, 2012 public
offering, or (ii) on the open market from June 21, 2012 to February 19, 2013, inclusive.
$850,000.00
Focus Media Holding Ltd. 8/1/2014 All those who purchased or otherwise acquired Focus Media Holding Limited’s American
Depository Shares from November 20, 2007 to November 21, 2011, inclusive.
$3,700,000.00
China Valves Technology, Inc. 8/5/2014 All persons or entities who purchased or otherwise acquired China Valves Technology, Inc.’s
common stock pursuant or traceable to the Company’s January 5, 2011 offering, from
January 5, 2011 through and including January 13, 2011 and who purchased or otherwise
acquired the Company’s common stock in the secondary market, from January 12, 2010
through and including November 18, 2010.
$1,500,000.00
NeurogesX, Inc. 8/5/2014 All persons and entities that purchased or otherwise acquired NeurogesX common stock
and/or warrants to purchase NeurogesX, Inc.’s common stock in the private placement
completed on July 21, 2011.
$1,250,000.00
First Regional Bancorp 8/8/2014 All persons and entities who purchased or otherwise acquired First Regional Bancorp from
January 30, 2007 to January 29, 2010, inclusive.
$5,500,000.00
The Orchard Enterprises, Inc. 8/12/2014 All who held The Orchard Enterprises, Inc. common stock from March 15, 2010 to July 29,
2010, inclusive.
$10,725,000.00
Oclaro, Inc. 8/13/2014 All persons who purchased or otherwise acquired the common stock of Oclaro, Inc. from
May 6, 2010 to October 28, 2010, inclusive
$3,700,000.00
Advanta Corp. 8/18/2014 All persons who purchased or otherwise acquired Advanta Corp. Class A and/or Class B
common stock from October 16, 2006 to January 30, 2008, inclusive.
$13,250,000.00
Kosmos Energy Ltd. 8/18/2014 All persons who purchased Kosmos Energy Ltd. common stock issued pursuant or
traceable to the Registration Statement and Prospectus utilized in connection with Kosmos’
May 10, 2011 initial public offering until January 10, 2012.
$10,200,000.00
City of Monticello, Minnesota 8/18/2014 All holders of Monticello Telecommunications Revenue Bonds, Series 2008, who bought
Bonds in the original offering of the Bonds on or around June 19, 2008, or who purchased
Bonds from such holders or their transferees, whether or not they own Bonds at the time of
the Settlement.
$5,750,000.00
Austin Capital Management 8/31/2014 All Persons who held an interest in the Austin Capital All Seasons Offshore Fund, the Austin
Capital Safe Harbor ERISA Dedicated Fund, the Austin Capital Safe Harbor Offshore Fund,
the Austin Capital Safe Harbor QP Fund, or the Austin Capital Safe Harbor Portable Alpha 1
Fund as of December 11, 2008.
$6,850,000.00
American Apparel Inc. 9/2/2014 All persons and entities who purchased or otherwise acquired the publicly traded common
stock of American Apparel, Inc. from November 28, 2007 to August 17, 2010, inclusive.
$4,800,000.00
FindWhat.com 9/5/2014 All persons who purchased FindWhat.com, Inc. common stock from February 23, 2005 to
May 4, 2005, inclusive.
$2,400,000.00
J.P. Morgan Acceptance Corp. 9/6/2014 All persons who purchased or otherwise acquired Certificates pursuant or traceable to
certain 2006 and 2007 JP Morgan RMBS offferings. A complete listing of the included
offerings can be found at http://www.jpmcertificatesettlement.com/notice.
$280,000,000.00
GMX Resources Inc. 9/8/2014 All persons who purchased or otherwise acquired GMX Resources Inc. common stock
pursuant or traceable to the Company’s common stock offerings on or about May 13, 2009
or October 22, 2009.
$2,700,000.00
Epicor Software Corporation 9/12/2014 All holders of Epicor Software Corporation common stock who received consideration for
their shares in the acquisition of Epicor by Apax Partners L.P. at the price of $12.50 per
share.
$18,000,000.00
Hewlett-Packard Co. 9/16/2014 All persons and entities who purchased or otherwise acquired Hewlett-Packard Co. publicly
traded common stock in the open market from November 22, 2010 to August 18, 2011,
inclusive.
$57,000,000.00
Synovus Financial Corp. 9/22/2014 All persons who purchased or otherwise acquired Synovus Financial Corp. common stock from October 26, 2007 to April 22, 2009, inclusive. $11,750,000.00
Advanta Corp. 9/23/2014 All persons who purchased or otherwise acquired Advanta Corp. RediReserve variable rate
certificates and investment notes issued pursuant to, or traceable to, Advanta’s Registration
Statement Prospectus filed on August 18, 2006, as amended.
$3,550,000.00
Armtec Infrastructure Inc. 10/9/2014 All persons who bought shares of Armtec Infrastructure Inc. during the period from March
24, 2011 to and including June 8, 2011, and held some or all of those shares at the close of
trading on June 8, 2011.
$12,515,500.00
Gardner Denver, Inc. 10/16/2014 All persons or entities who held or beneficially owned shares of Gardner Denver, Inc. common stock at any point from July 13, 2013 to July 30, 2013, inclusive. $29,000,000.00
New Oriental Education &
Technology Group Inc.
11/5/2014 All persons who purchased or otherwise acquired New Oriental Education & Technology
Group Inc. ADS from October 19, 2009 to July 17, 2012, inclusive.
$4,500,000.00
Anadarko Petroleum
Corporation
11/8/2014 All those who purchased or otherwise acquired Anadarko Petroleum Corporation securities
from June 12, 2009 to June 9, 2010, inclusive.
$12,500,000.00
HarborView Mortgage Loan
Trust
11/14/2014 All persons and entities who, at any time, purchased or otherwise acquired an interest in any
certificate in any of the following Harborview Mortgage Loan Trusts: Harborview Mortgage
Loan Trust, Series 2006-4, Harborview 2006-5, Harborview 2006-6, Harborview 2006-7,
Harborview 2006-8, Harborview 2006-9, Harborview 2006-10, Harborview 2006-11,
Harborview 2006-12, Harborview 2006-14, Harborview 2007-1, Harborview 2007-2,
Harborview 2007-5 and Harborview 2007-7.
$275,000,000.00
Central European Distribution
Corporation
12/15/2014 All persons who purchased the common stock of Central European Distribution Corporation
from March 1, 2010 to February 28, 2011, inclusive.
$1,150,000.00
Central European Distribution
Corporation
12/15/2014 All persons who purchased the common stock of Central European Distribution Corporation
from March 1, 2010 to November 13, 2012, inclusive.
$10,000,000.00
Vestas Wind Systems A/S 12/29/2014 All persons who purchased or otherwise acquired the American Depositary Receipts or
common stock of Vestas Wind Systems A/S in United States domestic transactions,
including on the over-the-counter market in the U.S from February 11, 2009 to February 9,
2012, inclusive.
$5,000,000.00

2014 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Advanced Battery
Technologies
3/22/2014 All persons who purchased or otherwise acquired the common stock of Advanced Battery Technologies, Inc. from May 15, 2007 to March 29, 2011, inclusive. $275,000.00
Advanta Corp. 8/18/2014 All persons who purchased or otherwise acquired Advanta Corp. Class A and/or Class B common stock from October 16, 2006 to January 30, 2008, inclusive. $13,250,000.00
Aeropostale, Inc. 6/20/2014 All persons or entities who purchased or otherwise acquired Aeropostale, Inc. common stock from March 11, 2011 to August 18, 2011, inclusive. $15,000,000.00
Alange Energy Corp. 4/10/2014 All persons, who acquired Alange Energy Corp. (n.k.a. PetroMagdalena Energy Corp.) securities on or after August 30, 2010 to and including January 12, 2011 and held some or
all of those shares on January 13, 2011.
$8,730,180.00
American Apparel Inc. 9/2/2014 All persons and entities who purchased or otherwise acquired the publicly traded common stock of American Apparel, Inc. from November 28, 2007 to August 17, 2010, inclusive. $4,800,000.00
American Superconductor
Corporation
4/7/2014 All persons who purchased American Superconductor Corporation common stock from July 29, 2010 through July 11, 2011, inclusive, as well as purchasers of the Company’s common
stock in or traceable to AMSC’s public offering on or about November 12, 2010
$10,000,000.00
Armtec Infrastructure Inc. All persons who bought shares of Armtec Infrastructure Inc. during the period from March 24, 2011 to and including June 8, 2011, and held some or all of those shares at the close of
trading on June 8, 2011.
$12,515,500.00
Brookfield Homes Corporation All holders of Brookfield Homes Corporation common stock from October 4, 2010 to Marc 31, 2011, inclusive. $5,000,000.00
Career Education Corp. 3/22/2014 All persons who purchased or otherwise acquired the common stock of Career Education Corporation from February 19, 2009 to November 21, 2011, inclusive. $27,500,000.00
Cathay Forest Products Corp. 3/31/2014 On behalf of all persons or entities, wherever they may reside, who purchased or otherwise acquired, sold or held shares of Cathay Forest Products Corp. from November 9, 2009 to
August 21, 2013, inclusive.
$1,843,399.00
Chanticleer Holdings, Inc. 7/24/2014 All persons and entities who purchased or otherwise acquired Chanticleer Holdings, Inc. securities either (i) pursuant and/or traceable to the Company’s June 21, 2012 public
offering, or (ii) on the open market from June 21, 2012 to February 19, 2013, inclusive.
$850,000.00
China Green Agriculture 7/9/2014 All persons or entities who purchased or otherwise acquired China Green Agriculture, Inc. publicly traded securities from May 12, 2009 to January 4, 2011, inclusive. $2,500,000.00
CIBER, Inc. 4/9/2014 All purchasers or acquirers of CIBER, Inc. common stock from December 15, 2010 to August 3, 2011, inclusive. $3,000,000.00
Citigroup Inc. 5/3/2014 Al persons who purchased or otherwise acquired Citigroup Inc. common stock and/or options to acquire Citigroup common stock through the Citigroup Global Markets Inc.
Voluntary FA Capital Accumulation Program during the class period, and received an FA
CAP award on January 2, 2007, July 1, 2007, January 2, 2008, July 1, 2008 and/or January
1, 2009
$8,500,000.00
CNinsure Inc. 7/9/2014 All persons who purchased CNinsure Inc. American Depositary Shares from March 2, 2010 to November 21, 2011, inclusive. $6,625,000.00
Cybex International, Inc. 6/21/2014 All holders of Cybex International, Inc. common stock on or before October 17, 2012 and continued to maintain ownership of this common stock through February 7, 2013, the date
that shares of Cybex were converted to the right to receive $2.55 in cash pursuant to a
merger agreement between the Company and UM Holdings, Ltd.
$1,830,000.00
Diebold Inc. 4/21/2014 All those who purchased the common stock and/or put and call options of Diebold Inc. from June 30, 2005 to January 14, 2008, inclusive. $31,600,000.00
Ebix, Inc. 6/4/2014 All persons who purchased or otherwise acquired Ebix, Inc. common stock from May 6,2009 to June 30, 2011, inclusive. $6,500,000.00
Enterprise GP Holdings L.P. All unitholders of Enterprise GP Holdings L.P. who held units on May 7, 2007, October 26,2009, or November 22, 2010. $12,400,000.00
FalconStor Software, Inc. 1/20/2014 All persons who purchased the common stock of FalconStor Software, Inc. from March 12,2008 to September 29, 2010, inclusive $5,000,000.00
Genoptix, Inc. 7/7/2014 All persons who purchased or otherwise acquired Genoptix, Inc. common stock and/or put and call options from July 31, 2009 to June 16, 2010, inclusive. $7,700,000.00
GEROVA Financial Group, Ltd. 5/20/2014 All persons who purchased or otherwise acquired GEROVA Financial Group, Ltd. securities in open market transactions from January 8, 2011 to February 23, 2011, inclusive. $1,372,000.00
GMX Resources Inc. 9/8/2014 All persons who purchased or otherwise acquired GMX Resources Inc. common stock pursuant or traceable to the Company’s common stock offerings on or about May 13, 2009
or October 22, 2009.
$2,700,000.00
Heckmann Corporation 8/18/2014 All who (i) held Heckmann Corp. common stock as of September 15, 2008, and were entitled to vote on the merger between Heckmann and China Water and Drinks, Inc.; (ii)
purchased or otherwise acquired Heckmann common stock during the period from May 20,
2008 through May 8, 2009, excluding shares of Heckmann common stock acquired by
exchanging stock of China Water for Heckmann stock through the merger between the two
companies consummated on October 30, 2008; or (iii) purchased or otherwise acquired
Heckmann warrants from May 20, 2008 through May 8, 2009.
$27,000,000.00
Hospira, Inc. 7/21/2014 All persons who purchased or otherwise acquired the common stock of Hospira, Inc. from February 4, 2010 to October 17, 2011, inclusive. $60,000,000.00
infoGROUP, Inc. 6/6/2014 All holders of infoGROUP, Inc. common stock from August 20, 2008 to July 1, 2010, inclusive. $13,000,000.00
J.P. Morgan Acceptance Corp. 9/6/2014 All persons who purchased or otherwise acquired Certificates pursuant or traceable to certain 2006 and 2007 JP Morgan RMBS offferings. A complete listing of the included
offerings can be found at http://www.jpmcertificatesettlement.com/notice.
$280,000,000.00
Kosmos Energy Ltd. 8/18/2014 All persons who purchased Kosmos Energy Ltd. common stock issued pursuant or traceable to the Registration Statement and Prospectus utilized in connection with Kosmos’
May 10, 2011 initial public offering until January 10, 2012.
$10,200,000.00
K-V Pharmaceutical Company 6/19/2014 All persons and entities who purchased or otherwise acquired the publicly traded securities of KV Pharmaceutical Company from June 15, 2004 to January 23, 2009, inclusive. $12,800,000.00
Lehman Brothers Holdings,
Inc.
4/17/2014 On behalf of all persons and entities who (1) purchased or acquired Lehman Brothers Holdings Inc. securities identified in Appendix A of the D&O Settlement Notice pursuant or
traceable to the Shelf Registration Statement and who were damaged thereby, (2)
purchased or acquired any Lehman Structured Notes identified in Appendix B of the D&O
Settlement Notice pursuant to or traceable to the Shelf Registration Statement and who
were damaged thereby, or (3) purchased or acquired Lehman common stock, call options,
and/or sold put options between June 12, 2007 and September 15, 2008 through and
inclusive, and who were damaged thereby;
On behalf of all persons and entities who purchased or acquired Lehman securities
identified in Appendix A of the Underwriter Settlement Notice pursuant or traceable to the
Shelf Registration Statement and Offering Materials who were damaged thereby; and
On behalf of all investors who (a) purchased or otherwise acquired Lehman Securities
identified in Appendix A to the Ernst & Young Settlement Notice, (b) purchased or otherwise
acquired Lehman Structured Notes identified in Appendix B to the Ernst & Young Settlement
Notice, and/or (c) purchased or otherwise acquired Lehman common stock or call options
and/or sold Lehman put options during the period between June 12, 2007 and September
15, 2008, through and inclusive.
For more information please see www.lehmansecuritieslitigationsettlement.com/ey
$99,000,000.00
Lime Energy Co. 6/12/2014 All persons who purchased Lime Energy Co.’s securities from May 14, 2008 to December 27, 2012, inclusive. $2,500,000.00
Mantria Corp. All persons or entities who invested in any securities issued or promoted by Mantria Corporation or Speed Wealth, LLC., or any of their subsidiaries or affiliates since September
2007 and incurred a net loss of their investment.
$6,050,000.00
Massey Energy Company 7/3/2014 All persons and entities that purchased or otherwise acquired shares of Massey Energy Company from February 1, 2008 to July 27, 2010, inclusive. $265,000,000.00
Millennium Global Emerging
Funds
All persons or entities that subscribed for, owned, beneficially owned, controlled, possessed, received, inherited, or otherwise acquired shares in Millennium Global Emerging Credit Fund
Ltd. or limited partnership interests in Millennium Global Emerging Credit Fund, L.P.
$14,750,000.00
Novatel Wireless, Inc. 6/30/2014 All persons who purchased Novatel Wireless, Inc. common stock from February 27, 2007 to September 15, 2008, inclusive. $16,000,000.00
Oclaro, Inc. 8/13/2014 All persons who purchased or otherwise acquired the common stock of Oclaro, Inc. from May 6, 2010 to October 28, 2010, inclusive. $3,700,000.00
Olympus Corporation 5/24/2014 All persons who purchased or otherwise acquired Olympus Corporation American Depository Receipts from May 8, 2007 to November 7, 2011, inclusive. $2,603,500.00
Oppenheimer AMT-FREE
Municipals Fund
8/28/2014 All persons or entities who purchased or otherwise acquired the A, B, or C shares of the Oppenheimer AMT-Free Municipals Fund from May 13, 2006 to October 21, 2008, inclusive. $17,109,000.00
Oppenheimer AMT-Free New
York Municipals Fund
8/28/2014 All persons or entities who purchased or otherwise acquired the A, B, or C shares of the Oppenheimer AMT-Free New York Municipal Fund from May 21, 2006 to October 21, 2008,
inclusive.
$4,241,000.00
Oppenheimer New Jersey
Municipal Fund
8/28/2014 All persons and entities who purchased or otherwise acquired the A, B, or C shares of the Oppenheimer New Jersey Municipal Fund from April 24, 2006 to October 21, 2008, inclusive. $3,374,000.00
Oppenheimer Pennsylvania
Municipal Fund
8/28/2014 All persons and entities who purchased or otherwise acquired the A, B, or C shares of the Oppenheimer Pennsylvania Municipal Fund from September 27, 2006 to November 26,
2008, inclusive.
$4,341,000.00
Oppenheimer Rochester Fund
Municipals
8/28/2014 All persons and entities who purchased or otherwise acquired the A, B, C, or Y shares of the Rochester Fund Municipals from February 26, 2006 to October 21, 2008, inclusive. $33,585,000.00
Oppenheimer Rochester
National Municipals Fund
8/28/2014 All persons or entities who purchased or acquired the A, B, or C shares of the Oppenheimer Rochester National Municipal Fund from March 13, 2006 to October 21, 2008, inclusive. $26,850,000.00
Radient Pharmaceuticals
Corp.
4/16/2014 All persons who purchased or otherwise acquired Radient Pharmaceuticals Corporation common stock from January 18, 2011 to March 4, 2011, inclusive. $2,500,000.00
Safety Components
International Inc.
6/16/2014 Minority shareholders of Safety Components International, Inc. as of October 20, 2006, with damages in excess of $100 relating to the Merger. $10,000,000.00
Satcon Technology
Corporation
5/19/2014 All purchasers of Satcon Technology Corporation common shares from August 5, 2010 to August 10, 2011, inclusive. $3,000,000.00
Sequans Communications
S.A.
3/4/2014 All persons who purchased Sequans Communications S.A. American Depositary Shares pursuant and/or traceable to the Company’s initial public offering on or about April 14, 2011,
as well as purchasers of Sequans ADSs between April 14, 2011 and July 27, 2011, inclusive.
$2,250,000.00
Smith Barney Mutual Funds 6/25/2014 On behalf of all persons and entities who purchased or sold shares of the following Smith Barney Asset Management LLC mutual funds between September 11, 2000 through and
including June 24, 2004 and during the specific damages periods indicated for the
respective funds as set forth at www.transferagentssettlement.com
$4,965,000.00
Still Water Funds (Gerova
Financial Group Ltd.)
6/16/2014 “Consolidated Class”: On behalf of all persons or entities who invested in any of the Stillwater Funds and whose interests in any of the Stillwater Funds were transferred in the
transactions between Stillwater Capital Partners, Inc., or Stillwater Capital Partners, LLC
and Gerova Financial Group, Ltd. consummated on January 20, 2010, and who (1)
submitted a request for full or partial redemption of their accounts in the Stillwater Funds
prior to December 23, 2009 and have not been paid in full on those redemption requests
and/or (2) received Gerova Series A Preferred Stock, which was converted or was to be
converted into restricted, unregistered Gerova ordinary shares; and
“Goldberg Class”: all persons or entities who were investors in the Stillwater Funds who
were promised the common stock of Gerova in exchange for their interests in the Stillwater
Funds pursuant to a share exchange agreement dated on or about December 23, 2009, and
that was completed on January 20, 2010.
$2,058,000.00
Swisher Hygiene, Inc. 8/1/2014 All investors who purchased Swisher Hygiene, Inc. common stock on the NASDAQ stock exchange or otherwise acquired the Company’s common stock in a transaction that took
place within the United States or its territories from March 1, 2011 to March 28, 2012,
inclusive.
$5,500,000.00
Textron, Inc. 6/30/2014 All persons who purchased Textron, Inc. common stock on April 9, 2009 and/or purchased Harman International Industries, Inc. common stock on July 20, 2009. $6,228,729.00
The Orchard Enterprises, Inc. 8/12/2014 All who held The Orchard Enterprises, Inc. common stock from March 15, 2010 to July 29, 2010, inclusive. $10,725,000.00
UniTek Global Services, Inc. 7/11/2014 All persons or entities who purchased or otherwise acquired UniTek Global Services, Inc.common stock from May 18, 2011 to April 12, 2013, inclusive. $1,550,000.00
Weatherford International Ltd. 8/19/2014 All persons who purchased or otherwise acquired Weatherford International Ltd. common stock from April 25, 2007 to March 1, 2011, inclusive. $52,500,000.00
WMS Industries, Inc. 5/5/2014 All persons who purchased or acquired the common stock of WMS Industries Inc. from September 21, 2010 to August 4, 2011, inclusive. $3,700,000.00
Yuhe International, Inc. 7/31/2014 All persons or entities who purchased or otherwise acquired Yuhe International, Inc. common stock on the open market between December 31, 2009 and June 17, 2011,
inclusive, as well as a subclass of all persons and entities who purchased or otherwise
acquired the common stock of Yuhe prior to March 23, 2011 pursuant to and/or traceable to
the Offering on or about October 20, 2010 at the offering price of $7.00 per share.
$2,700,000.00

July through October 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Matrixx Initiatives Inc. 8/15/2013 All persons who purchased or otherwise acquired Matrixx initiatives, Inc. common stock from December 22, 2007 to June 15, 2009, inclusive $4,500,000.00
SinoTech Energy Limited 8/15/2013 All persons who purchased the American Depository Shares of SinoTech Energy Limited from November 3, 2010 till August 16, 2011, inclusive. $20,000,000.00
Merrimac Industries, Inc. 8/16/2013 Public stockholders of Merrimac Industries, Inc. who owned shares of Merrimac common stock at the close of trading on December 23, 2009 $2,000,000.00
China Electric Motor, Inc. 8/28/2013 All persons who purchased or otherwise acquired China Electric Motor, Inc. common stock from January 29, 2010 through March 30, 2011, inclusive. $3,778,333.00
Genta, Inc. 8/30/2013 All holders of Genta, Inc. common stock as of June 5, 2008. $785,000.00
Penson Worldwide, Inc. 9/5/2013 All persons and entities who purchased the publicly traded common stock of Penson Worldwide, Inc. from March 30, 2007 to August 4, 2011, inclusive, or held Penson common
stock as of March 23, 2009, March 29, 2010, and March 1, 2011, respectively, and were entitled to vote on the election of Penson’s directors
$6,500,000.00
Dendreon Corp. 9/7/2013 All those who purchased or otherwise acquired Dendreon Corporation common stock from April 29, 2011 to August 3, 2011, inclusive. $40,000,000.00
American International Group Inc. 9/12/2013 All persons who purchased or otherwise acquired publicly-traded securities issued by American International Group, Inc. from October 28, 1999 to April 1, 2005, inclusive, including all persons and entities who held the common stock of HSB Group, Inc. at the time HSB was acquired by AIG in a stock for stock transaction, and all persons and entities who held the common stock of American General Corporation at the time AGC was acquired by AIG in a stock for stock transaction. $72,000,000.00
China Century Dragon Media, Inc. 9/16/2013 All persons who purchased or otherwise acquired China Century Dragon Media, Inc. from February 7, 2011 to March 21, 2011, inclusive. $778,333.00
ACLN 9/16/2013 All persons who purchased A.C.L.N., Ltd. common stock from June 15, 1999 through March 18, 2002, inclusive. $28,265,287.00
easyhome Ltd. 9/17/2013 All persons who purchased shares of easyhome Ltd. From April 8, 2008 to October 14, 2010, inclusive. $2,212,785.00
Constellation Energy Group,
Inc.
9/23/2013 All persons who purchased Constellation Energy Group, Inc.’s Series A Junior Subordinated Debentures from June 27, 2008 through September 22, 2008, inclusive. $4,000,000.00
Wamex Holdings, Inc. 9/23/2013 On behalf of all persons who purchased or acquired: (i) Wamex Holdings, Inc. common stock from December 1, 1999 through June 13, 2000; (ii) U.N. Dollars Corp. common stock from December 1, 1999 through March 13, 2000; (iii)absoluteFuture.com common stock from December 1, 1999 through May 31, 2000; and (iv) Ramoil Management, Ltd. common stock from December 29, 1999 through May 31, 2000. $14,256,179.00
Human Genome Sciences, Inc. 9/24/2013 All purchasers of Human Genome Sciences, Inc. common stock from December 7, 2007 to January 23, 2008, inclusive. $35,000,000.00
China Medicine Corporation 9/27/2013 All who purchased, sold, exchanged, acquired, disposed of transferred or made any other Investment Decision involving China Medicine Corporation securities from February 8, 2006
to January 31, 2013, inclusive.
$700,000.00
Grifco International Inc. 10/1/2013 All persons who purchased Grifco international Inc. common stock from January 1, 2005 to December 14, 2006, inclusive. $1,577,579.00
Carter’s Inc. 10/3/2013 All persons or entities who purchased the publicly traded securities of Carter’s Inc. from March 16, 2005 through November 10, 2009, inclusive. $3,300,000.00
SMART Technologies, Inc. 10/4/2013 All persons and entities who purchased or otherwise acquired Smart Technologies, Inc. common stock in the United States of America from July 14, 2010 to May 18, 2011,
inclusive.
$15,250,000.00
Computer Sciences Corp. 10/8/2013 All persons and entities who purchased or acquired Computer Sciences Corporation common stock from August 5, 2008 to December 27, 2011, inclusive. $97,500,000.00
Fifth Third Bancorp 10/8/2013 All persons or entities who purchased or otherwise acquired: (i) the common stock of Fifth Third Bancorp issued in connection with the Agreement and Plan of Merger between Fifth Third and First Charter Corporation pursuant to Fifth Third’s November 29, 2007 Registration/Proxy Statement/Prospectus; (ii) shares of Fifth Third Capital Trust VI, 7.25% Trust Preferred Securities pursuant or traceable to Fifth Third’s October 23, 2007 Final Prospectus Supplement (Preferred B Shares); and/or (iii) shares of Fifth Third Capital Trust
VII, 8.875% Trust Preferred Securities pursuant or traceable to Fifth Third’s April 29, 2008 Final Prospectus Supplement (Preferred C Shares) filed with the Securities and Exchange Commission.
$16,000,000.00
Duoyuan Printing, Inc. 10/9/2013 All persons who purchased or otherwise acquired Duoyuan Printing, Inc. (“DYP”) common stock pursuant and/or traceable to DYP’s Registration Statement and Prospectus issued in connection with DYP’s initial public offering of common stock on November 6, 2009; or
purchased or otherwise acquired DYP Stock from November 6, 2009 to March 28, 2011, both dates inclusive
$4,300,000.00
General Electric Company 10/11/2013 All persons who, from September 25, 2008 to March 19, 2009, inclusive, purchased or otherwise acquired General Electric Co. common stock either in the open market and/or pursuant or traceable to the Registration Statement and Prospectus for the secondary public
offering.
$40,000,000.00
Pacific Biosciences of
California, Inc.
10/16/2013 All persons or entities that purchased Pacific Biosciences of California, Inc. common stock from October 27, 2010 to September 20, 2011, inclusive, including those persons that purchased the Company’s common stock pursuant or traceable to Pacific Biosciences’
October 27, 2010 Initial Public Offering.
$7,686,495.00
Idearc, Inc. 10/18/2013 All persons who purchased Idearc, Inc. securities from August 9, 2007 to October 30, 2008, inclusive. $33,750,000.00
Gulf Resources, Inc. 10/21/2013 All persons who purchased or otherwise acquired the common stock of Gulf Resources, Inc. from March 16, 2009 to April 26, 2011, inclusive. $2,125,000.00
Hansen Medical, Inc. 10/25/2013 All persons or entities who purchased or otherwise acquired the common stock of Hansen Medical, Inc. from February 19, 2008 to October 18, 2009, inclusive. $8,500,000.00
Suffolk Bancorp 10/30/2013 All those who purchased the common stock of Suffolk Bancorp from March 12, 2011 to August 10, 2011, inclusive. $2,800,000.00
Coventry Health Care, Inc. 10/31/2013 All persons who purchased the common stock of Coventry Health Care, Inc. from February 9, 2007 to October 22, 2008, inclusive. $10,000,000.00
CNX Gas Corporation 11/6/2013 All persons who held shares of CNX Gas Corporation common stock at any point from March 21, 2010 to May 28, 2010, inclusive. $42,730,914.00
Schering-Plough Corp. 11/18/2013 All persons and entities who purchased or acquired Schering-Plough Corp. common stock, 6% mandatory converitble preferred stock maturing August 31, 2010, or call options, and/or sold Schering-Plough put options from January 3, 2007 to March 28, 2008, inclusive, and who did not sell their stock and/or options on or before December 11, 2007. $473,000,000.00
Merck & Co. Inc. 11/18/2013 All persons who purchased or otherwise acquired Merck & Co., Inc. common stock, or call options, and/or sold Merck put options, during the period between December 6, 2006 through and including March 28, 2008, and who did not sell their stock and/or options on or before January 14, 2008. $215,000,000.00
Lender Processing Services,
Inc.
11/19/2013 All persons who purchased or otherwise acquired the publicly traded common stock of Lender Processing Services, Inc. from August 6, 2008 to October 04, 2010, inclusive $14,000,000.00
DGSE Companies, Inc. 11/23/2013 All persons who purchased or otherwise acquired DGSE Companies, Inc. common stock from April 15, 2011 to April 17, 2012, inclusive. $1,700,000.00
Internap Network Services
Corp.
12/4/2013 All persons or entities that purchased the common stock of Internap Network Services Corp. from May 3, 2007 to August 5, 2008, inclusive. $9,500,000.00
The Blackstone Group L.P. 12/10/2013 All persons and entities who purchased common units of The Blackstone Group L.P. in Blackstone’s June 21, 2007 initial public offering of such common units in the United States or in the open market on the New York Stock Exchange from June 21, 2007 to March 12, 2008, inclusive. $85,000,000.00
Brantley Capital Corp. 12/11/2013 All persons who purchased the common stock of Brantley Capital Corp. from March 31, 2003 to October 24, 2005, inclusive. $957,729.00
Winstar Communications, Inc. 12/12/2013 All persons and entities (I) who purchased or otherwise acquired the publicly issued common stock of Winstar Communications, Inc. from March 10, 2000 to April 2, 2001, inclusive; (II) who purchased Winstar U.S. dollar-denominated 12 1/2% bonds due April 2008, 12 3/4% bonds due April 2010 and 14 3/4% bonds due April 2010 from October 16, 2000 until April 2, 2001, inclusive. $10,000,000.00
Adelphia Communications
Corp.
12/16/2013 All persons who purchased or otherwise acquired securities issued by Adelphia Communications Corp. or its subsidiaries from August 16, 1999 to June 10, 2002, inclusive. $12,000,000.00
Fushi Copperweld, Inc. 12/17/2013 All persons who purchased or otherwise acquired Fushi Copperweld, Inc. common stock from August 14, 2007 to May 4, 2011, inclusive. $3,250,000.00
Federal National Mortgage
Association (Fannie Mae)
12/20/2013 All persons who purchased the publicly traded common stock or call options of Fannie Mae, or sold publicly traded Fannie Mae put options, from April 17, 2001 through December 22, 2004, inclusive. $153,000,000.00
Johnson & Johnson 12/24/2013 All purchasers of Johnson & Johnson common stock from October 14, 2008 through July 21, 2010, inclusive. $22,900,000.00
Nomura Asset Acceptance
Corp.
12/26/2013 All persons or entities who purchased or otherwise acquired the Nomura Asset Acceptance Corporation, Alternative Loan Trust, Series 2006-AP1 Mortgage Pass-Through Certificates and/or the Nomura Asset Acceptance Corporation, Alternative Loan Trust, Series 2006-AF1 Mortgage Pass-Through Certificates from July 22, 2005 to January 31, 2008, inclusive. $21,200,000.00
Zungui Haixi Corporation 1/6/2014 All purchasers of Zungui Haixi Corporation shares from August 11, 2009 to August 22, 2011, inclusive. $10,317,808.00

June 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
K12 Inc. 8/3/2013 All persons who purchased or otherwise acquired K12 Inc. common stock from September 9, 2009 through December 12, 2011, inclusive. $6,750,000.00
Merrimac Industries, Inc. 8/16/2013 Public stockholders of Merrimac Industries, Inc. who owned shares of Merrimac common stock at the close of trading on December 23, 2009 $2,000,000.00
Sigma Designs, Inc. 8/16/2013 All persons and entities who sold shares of Sigma Designs, Inc. from July 13, 2007 through November 28, 2007, inclusive. $550,000.00
SunPower Corp. 8/6/2013 All persons who purchased or otherwise acquired SunPower Corporation publicly traded Class A and/or Class B common stock and/or 4.75% Senior Convertible Debentures from
April 17, 2008 through November 16, 2009, inclusive.
$19,700,000.00
ZST Digital Networks, Inc. 7/22/2013 All persons and entities who purchased or otherwise acquired the securities of ZST Digital Networks, Inc. from October 20, 2009 through April 21, 2011, inclusive. $1,700,000.00

May 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Aracruz Celulose S.A. 9/30/2013 All persons and entities who purchased the American Depository Receipts of Aracruz Celulose S.A. from April 7, 2008 through October 2, 2008, inclusive. $37,500,000.00
Broadwind Energy, Inc. 7/27/2013 All persons or entities who purchased or otherwise acquired the common stock of
Broadwind Energy, Inc. from March 16, 2009 through August 9, 2010, inclusive.
$3,915,000.00
Caraco Pharmaceutical Laboratories, Ltd. 8/8/2013 All persons or entities who purchased or otherwise acquired Caraco Pharmaceutical Laboratories, Ltd.’s securities from May 29, 2008 through June 25, 2009, inclusive. $2,975,000.00
Deer Consumer Products, Inc. 6/5/2013 All persons who purchased or otherwise acquired the common stock of Deer Consumer Products, Inc. from August 13, 2009 through March 21, 2011, inclusive. $2,125,000.00
FCStone Group, Inc. 8/16/2013 All persons or entities who purchased or otherwise acquired publicly traded securities of FCStone Group, Inc. from November 3, 2008 through February 24, 2009, inclusive. $4,250,000.00
Ikanos Communications, Inc. 7/8/2013 All persons and entities who purchased the common stock of Ikanos Communications, Inc. $5,000,000.00
in the Company’s secondary offering of common stock on or about March 17, 2006.
$5,000,000.00
Immucor Inc. 7/24/2013 All persons who purchased or otherwise acquired Immucor, Inc. common stock from October 19, 2005 trhough June 25, 2009, inclusive. $3,900,000.00
Lockheed Martin Corporation 6/24/2013 All purchasers of Lockheed Martin Corp. common stock from April 21, 2009 through July 21, 2009, inclusive. $19,500,000.00
Oilsands Quest Inc. 6/24/2013 All persons who purchased or sold the shares or options of Oilsands Quest Inc. from March 20, 2006 through January 13, 2011, inclusive. $10,235,000.00
Perrigo Company 5/8/2013 All persons who purchased or otherwise acquired the common stock of Perrigo Company on the NASDAQ market or by other means involving transactions in the United States of
America from November 6, 2008 through February 2, 2009, inclusive.
$1,787,500.00
Sino Clean Energy, Inc. 6/7/2013 All persons or entities who acquired the common stock of Sino Clean Energy, Inc. pursuant to and/or traceable to the Registration Statement and Prospectus for the secondary offering
which became effective December 21, 2010.
$2,000,000.00
TechTeam Global, Inc. 7/2/2013 All persons who held TechTeam Global, Inc.common stock from November 1, 2010 through
December 13, 2010, inclusive.
$1,775,000.00

April 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Bidz.com, Inc. 6/6/2013 All who purchased the common stock of BIDZ.com, Inc. from August 13, 2007 through November 28, 2007, inclusive. $3,150,000.00
Ener1, Inc. 6/29/2013 All persons or entities who purchased or otherwise acquired Ener1, Inc. common stock from November 10, 2010 to August 15, 2011, inclusive. $4,200,000.00
NBTY, Inc. 6/5/2013 All purchasers of the common stock of NBTY, Inc. from November 9, 2009 through April 26, 2010, inclusive. $6,000,000.00
STEC, Inc. 6/25/2013 All persons who purchased or otherwise acquired STEC, Inc. common stock from June 16, 2009 through February 23, 2010, inclusive. $35,750,000.00
W Holding Company, Inc. 6/14/2013 All who purchased W Holding Company, Inc. publicly traded securities from April 24, 2006 through June 26, 2007, inclusive. $8,750,000.00

March 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
American International Group,
Inc.
3/27/2013 All persons who purchased or otherwise acquired publicly-traded securities issued by American International Group, Inc.from October 28, 1999 through April 1, 2005, inclusive, including all persons and entities who held the common stock of HSB Group, Inc. at the time
was acquired by AIG in a stock for stock transaction, and all persons and entities who held the common stock of American General Corporation at the time AGC was acquired by AIG in a stock for stock transaction.
$115,000,000.00
A-Power Energy Generation
Systems, Ltd.
7/13/2013 All persons who purchased or otherwise acquired A-Power Energy Generation Systems, Ltd. Securities frin March 17, 2008 trhough June 27, 2011, inclusive $3,675,000.00
Claymore Advisors LLC 6/17/2013 All persons who held the common shares of Fiduciary/Claymore Dynamic Equity Plan and uffered net losses attributable to certain derivative transactions from August 19, 2008 to October 20, 2008, inclusive $45,396,878.00
Dell Inc. 5/25/2013 All persons who purchased or acquired Dell Inc. common stock from May 3, 2001 to September 8, 2006, inclusive. $110,962,734.00
Direxion Daily Financial Bear
3X Shares
5/17/2013 All persons or entities that purchased or otherwise acquired shares of the Direxion Financial Bear 3X shares, Direxion Energy Bear 3X shares, Direxion Large Cap Bear 3X shares, or Direxion Small Cap Bear 3X shares from November 3, 2008 through April 9, 2009, inclusive. $8,000,000.00
Par Pharmaceutical
Companies, Inc.
8/2/2013 All persons who purchased or otherwise acquired the common stock of Par Pharmaceutical Companies, Inc.from July 23, 2007 through July 5, 2006, inclusive. $8,100,000.00
Piedmont Office Realty Trust,
Inc.
6/1/2013 All who (a) held shares of Piedmont Office Realty Trust, Inc. (f/k/a Wells Real Estate Investment Trust, Inc. at the time of the tender offer by Lex-Win Acquisition LLC between May 25, 2007 and July 20, 2007, and who did not tender their shares to Lex-Win; and, (b) all who were of record as of October 2, 2007 were entitled to vote on the proposals in
Piedmont’s Schedule 14A Proxy Statement dated October 16, 2007, as amended and
supplemented on October 19, 2007 and November 2, 2007.
$2,600,000.00
Regions Morgan Keegan
Funds
5/20/2013 All persons who purchased or otherwise acquired the publicly traded shares of: (i) RMK High Income Fund, Inc. between June 24, 2003 and July 14, 2009, inclusive; (ii) RMK Strategic Income Fund, Inc. between March 18, 2004 and July 14, 2009, inclusive; (iii) RMK
Advantage Income Fund, Inc. between November 8, 2004 and July 14, 2009, inclusive; and (iv) RMK Multi-Sector High Income Fund, Inc. between January 19, 2006 and July 14, 2009, inclusive, or pursuant or traceable to the Registration Statement, Prospectus, and
Statement of Additional Information filed by RHY on or about January 19, 2006 with the SEC.
$62,000,000.00
Wells Real Estate Investment
Trust, Inc.
6/1/2013 All shareholders of Wells REIT Investment Trust, Inc.(n/k/a Piedmont Office Realty Trust,Inc.) who were entitled to vote on the proposals in Wells REIT’s Schedule 14A Proxy Statement dated February 26, 2007. $4,900,000.00
Wonder Auto Technology, Inc. 4/15/2013 All persons and entities who purchased or otherwise acquired the common stock of Wonder Auto Technology, Inc. from March 30, 2009 to May 6, 2011, inclusive. $3,000,000.00
WorldSpace, Inc. 5/8/2013 All persons who purchased WorldSpace, Inc. common stock pursuant or traceable to the Company’s August 4, 2005 Initial Public Offering through March 16, 2006, inclusive. $2,375,000.00

February 2013 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Bank of America Corporation (Equity) 4/25/2013 i. All persons and entities who held Bank of America Corporation (“BoA”) common stock as of October 10, 2008, and were entitled to vote on the Merger between BoA and Merrill that was consummated on January 1, 2009, and were damaged thereby; and
ii. all persons and entities who purchased or otherwise acquired BoA common stock during the period from September 18, 2008 through January 21, 2009, inclusive, excluding shares of BoA common stock acquired by exchanging stock of Merrill for BoA stock through the Merger between the two companies consummated on January 1, 2009, and were damaged thereby; andiii. all persons and entities who purchased or otherwise acquired January 2011 call options of BoA from September 18, 2008 through January 21, 2009, inclusive, and were damaged thereby; andiv. all persons and entities who purchased BoA common stock issued under the Registration Statement in the Secondary Offering that occurred on or about October 7, 2008, and were damaged thereby.
$2,425,000,000.00
Bernard L. Madoff Investment Securities LLC 4/17/2013 All shareholders in Fairfield Sentry Limited , Fairfield Sigma Limited, Fairfield Lambda Limited, Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. as of December 10, 2008. $50,250,000.00
BP Prudhoe Bay Royalty Trust 2/25/2013 All purchasers of the units of BP Prudhoe Bay Royalty Trust during the period from March 31, 2005 through February 5, 2007, inclusive. $43,250,000.00
iStar Financial Inc. 3/19/2013 All persons who purchased the common stock of iStar Financial Inc. from December 6,
2007 through March 6, 2008, inclusive.
$29,000,000.00
Smart Online, Inc. 2/25/2013 All persons who purchased or otherwise acquired publicly traded securities of Smart Online,
Inc. from May 2, 2005 to September 28, 2007, inclusive.
$636,000.00
Toyota Motor Corporation 5/7/2013 All persons and entities who purchased or otherwise acquired Toyota Motor Corporation American Depositary Shares from May 10, 2005 through February 2, 2010, inclusive. $25,500,000.00

December 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Bernard L. Madoff Investment Securities LLC 1/14/2013 All persons and entities who held limited partnership interests in Selectinvest ARV LP as of December 11, 2008 and were damaged thereby. $6,900,000.00
Broadcom Corp. 12/26/2012 All persons and entities that purchased or otherwise acquired the Class A common stock of Broadcom Corp. from February 14, 2006 to May 25, 2006, inclusive. $13,000,000.00
Citigroup Inc. 2/7/2013 All persons who purchased or otherwise acquired shares of Citigroup, Inc. common stock from February 26, 2007 to April 18, 2008, inclusive. $590,000,000.00
Green Bankshares, Inc. 3/13/2013 All persons and entities who purchased or otherwise acquired Green Bankshares, Inc.’s securities from January 19, 2010 to November 9, 2010, inclusive. $1,750,000.00
Pharmacia Corp. 1/28/2013 All persons who purchased or otherwise acquired the common stock of Pharmacia Corp. common stock from April 17, 2000 to August 05, 2001, inclusive. $164,000,000.00
WaMu Mortgage Pass-Through Certificates 3/18/2013 All persons or entities who purchased or otherwise acquired the following WaMu Mortgage-Pass Through Certificates: 2006 AR-7 tranche 2A; 2006 AR-12 tranche 1A1; 2006 AR-16
tranches 2A1, LB1, LB2, LB3, 3B1, 3B2, and 3B3; 2006 AR- 17 tranche 1A; 2006 AR-18
tranche 2A1; and 2007-HYI tranches 1A1 and 3A3 on or before August 1, 2008 pursuant
and/or traceable to their Registration Statements and accompanying Prospectuses filed with
the Securities and Exchange Commission.
$26,000,000.00

November 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Coinstar, Inc. 1/3/2013 All persons who purchased Coinstar International, Inc. securities pursuant or traceable to the Registration Statement/Prospectus for Company’s November 14, 2002 initial public offering
till September 5, 2003, inclusive.
$23,500,000.00
El Paso Corp. 12/27/2012 All holders of the common stock of El Paso Corporation from August 30, 2011 to May 25, 2012, inclusive $110,000,000.00
IndyMac Bancorp, Inc. 1/18/2013 All persons or entities who purchased or otherwise acquired the common stock of IndyMac Bancorp, Inc. from March 1, 2007 to May 12, 2008, inclusive. $6,500,000.00
Mannkind Corp. 1/4/2013 All persons who purchased or otherwise acquired the common stock of MannKind Corp. from May 4, 2010 to February 11, 2011, inclusive. $23,027,778.00
MBIA Inc. 2/23/2013 All persons who purchased or otherwise acquired MBIA Inc. common stock from August 5, 2003 through March 30, 2005, inclusive. $3,750,000.00
Pall Corp. 12/13/2012 All those who purchased or otherwise acquired the common stock of Pall Corporation from April 20, 2007 to August 2, 2007, inclusive. $22,500,000.00
Tronox Inc. 1/7/2013 All persons or entities who purchased or otherwise acquired shares of Tronox Inc. Class A and/or Class B common stock and/or Tronox 9½% senior notes due 2012 from November
21, 2005 to Janunary 12, 2009, inclusive.
$37,000,000.00

July 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Arbitron, Inc. 8/30/2012 All persons who purchased the common stock of Arbitron, Inc. from July 19, 2007 to November 26, 2007, inclusive. $7,000,000.00
Delphi Financial Group, Inc. 8/15/2012 All record and beneficial holders of Delphi Financial Group, Inc. Class A common stock at any time between and including July 20, 2011 and May 15, 2012) and/or holders of certain vested options to purchase shares of Delphi Class A common stock as of the May 15, 2012. $49,000,000.00
Liberty Media Corporation 8/17/2012 All beneficial and record owners of Liberty Media Corporation’s Series B Liberty Entertainment tracking stock as of October 9, 2009. $10,000,000.00
RINO International Corporation 8/27/2012 All persons and entities who purchased the publicly traded common stock or call options or who sold put options of RINO International Corporation from March 31, 2009 to November 17, 2010, inclusive. $7,000,000.00
Sonoco Products Co. 8/30/2012 All persons who purchased the common stock of Sonoco Products Co. from February 07, 2007 to September 18, 2007, inclusive. $13,000,000.00
State Street Global Advisors
(Yield Plus Fund)
8/14/2012 All persons and entities who purchased SSgA Yield Plus Fund shares from July 01, 2005 to May 31, 2008, inclusive. $6,250,000.00
Sturm, Ruger & Company, Inc. 9/24/2012 All persons and entities who purchased Sturm, Ruger & Company, Inc. common stock from April 23, 2007 to October 24, 2007, inclusive. $3,000,000.00
Thornburg Mortgage, Inc. 11/19/2012 All persons and entities who purchased or otherwise acquired Thornburg Mortgage, Inc. common stock and/or preferred stock in the open market and/or in or traceable to the May2007 offering, the June 2007 offering, the September 2007 offering, and the January 2008 offering. $2,000,000.00
Tongxin International, Ltd. 8/1/2012 All purchasers of Tongxin International, Ltd. common stock from May 18, 2009 to December 17, 2010, inclusive. $3,000,000.00
Zynex, Inc. 10/1/2012 All persons and entities who purchased Zynex, Inc. common stock from May 21, 2008 to March 31, 2009, inclusive. $2,500,000.00

June 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Charles Schwab Investment 6/29/2012 All persons who held shares of the Schwab YieldPlus Fund as of February 28, 2006, and/or purchased or acquired shares of the YieldPlus Fund between March 1, 2006 and March 31, 2008, inclusive, and/or held shares of the Schwab Total Bond Fund as of September 29, 2006, and/or purchased or acquired shares of the Total Bond Fund between September 30, 2006 and March 31, 2008, inclusive, and whose Recognized Loss entitles them to a Distribution Payment. $110,000,000.00
Coinstar, Inc. 8/21/2012 All persons and entities who purchased or otherwise acquired the common stock of Coinstar, Inc. from October 29, 2010 to February 03, 2011, inclusive. $6,000,000.00
IMAX Corp. 10/12/2012 All persons and entities who purchased or otherwise acquired IMAX Corp. common stock from February 27, 2003 to July 20, 2007, inclusive. $12,000,000.00
International Game
Technology
8/6/2012 All purchasers or acquirers of International Game Technology publicly-traded securities from November 01, 2007 to October 30, 2008, inclusive. $12,500,000.00
Lehman XS Trust Series 8/20/2012 All persons or entities who purchased or otherwise acquired mortgage pass-through certificates pursuant or traceable to Structured Asset Securities Corporation’s August 16, 2005 Registration Statement or May 10, 2006 Registration Statement, and the accompanying prospectuses and prospectus supplements in the following 17 offerings and who were damaged thereby: the LXS 2005-5N offering, LXS 2005-7N offering, LXS 2005-6 offering, LXS 2005-8 offering, LXS 2006-2N offering, LXS 2006-14N offering, LXS 2006-16N offering, LXS 2006-GP2 offering, GMFT 2006-AR4 offering, GMFT 2006-AR5 offering, SARM 2006-1 offering, SARM 2006-4 offering, SARM 2007-6 Offering, SASCO 2007-BC1 offering, SASCO 2007-EQ1 offering, SASCO 2007-OSI offering and FFMLT 2006-FFB offering. $40,000,000.00
Ormat Technologies, Inc. 9/24/2012 All persons who purchased or otherwise acquired Ormat Technologies, Inc. securities from May 07, 2008 to February 24, 2010, inclusive. $310,000.00
Reddy Ice Holdings, Inc. 7/18/2012 All persons or entities who purchased or otherwise acquired the publicly-traded securities of Reddy Ice Holdings, Inc. from August 10, 2005 to September 15, 200, inclusive. $1,000,000.00
SLM Corp. (Sallie Mae) 8/31/2012 All persons and entities who purchased or otherwise acquired SLM Corp. common shares between January 18, 2007 and January 23, 2008, inclusive, and who possessed any of those shares over one or more of the dates of December 19, 2007, January 3, 2008, and January 23, 2008. $35,000,000.00

May 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Allscripts-Misys Healthcare
Solutions, Inc.
7/18/2012 All purchasers and acquirers of Allscripts-Misys Healthcare Solutions, Inc. publicly traded equity and options from May 08, 2007 to February 13, 2008, inclusive. $10,150,000.00
American Capital Ltd. 7/20/2012 All persons and entities who purchased the publicly-traded common stock of American Capital Ltd. from October 31, 2007 to November 07, 2008, inclusive. $18,000,000.00
Cell Therapeutics Inc. 7/28/2012 All persons purchased the common stock of Cell Therapeutics, Inc. from March 25, 2008 to March 22, 2010, inclusive. $19,000,000.00
CIT Group, Inc. 7/5/2012 All persons who purchased or acquired the publicly-traded common stock of CIT Group Inc. from December 12, 2006 through and including March 5, 2008, and all persons who purchased or acquired CIT-Z securities pursuant to the October 17, 2007 registration statement and prospectus. $75,000,000.00
Converium Holding AG 4/11/2013 All persons and other entities who purchased or otherwise acquired shares of the common stock of Converium Holding AG during the period from January 7, 2002 up to and including September 2, 2004 on the SWX Swiss Exchange or any other stock exchange outside the United States of America and who were not residents of the United States at the time of such purchase of acquisition. $58,400,000.00
Deutsche Alt-A Securities, Inc. 8/10/2012 All persons who purchased or otherwise acquired Certificates in the Deutsche Alt-A Securities Mortgage Loan Trust 2006-AR5 and/or the Deutsche Alt-B Securities Mortgage Loan Trust 2006-AB4 Mortgage Pass-Through Certificates issued by Deutsche Alt-A
Securities, Inc. between May 1, 2006 through May 30, 2007, inclusive.
$32,500,000.00
Koss Corporation 8/6/2012 All persons or entities who purchased or acquired the securities of Koss Corporation from July 12, 2005 to December 21, 2009, inclusive. $1,000,000.00
Meta Financial Group 7/30/2012 All those who purchased or otherwise acquired the publicly traded common stock of Meta Financial Group, Inc. from May 14, 2009 to October 18, 2010, inclusive. $2,100,000.00
National Lampoon, Inc. 6/13/2012 All persons who purchased or otherwise acquired any common stock of National Lampoon, Inc. from March 01, 2008 to December 15, 2008, inclusive. $1,000,000.00
PFF Bancorp, Inc. 7/9/2012 All persons or entities who purchased or otherwise acquired PFF Bancorp, Inc. common stock from October 23, 2006 to April 30, 2008, inclusive. $8,250,000.00
R.H. Donnelley Corporation 6/19/2012 All purchasers of R.H. Donnelley Corporation’s common stock from October 26, 2006 to May 29, 2009, inclusive. $25,000,000.00

April 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
American International Group, Inc. 6/4/2012 All persons who purchased or otherwise acquired publicly-traded securities issued by American International Group, Inc. from October 28, 1999 to April 01, 2005, inclusive, including all persons and entities who held the common stock of HSB Group, Inc. at the time HSB was acquired by AIG in a stock for stock transaction, and all persons and entities who held the common stock of American General Corporation at the time AGC was acquired by AIG in a stock for stock transaction. $115,000,000.00
ArthroCare Corp. 6/25/2012 All persons and entities who purchased or otherwise acquired the publicly traded securities of ArthroCare Corp., and all persons or entities who purchased or otherwise acquired call options or who sold put options in ArthoCare common stock, from December 11, 2007 to February 18, 2009, inclusive. $74,000,000.00
CardioNet, Inc. 4/27/2012 All persons who purchased or acquired CardioNet, Inc. common stock pursuant and/or traceable to the Company’s Registration Statements and Prospectuses, as amended filed with the Securities Exchange Commission in connection with CardioNet’s March 25, 2008 Initial Public Offering and/or its August 6, 2008 Secondary offering. $7,250,000.00
Carter’s Inc. 6/1/2012 All persons or entities who purchased the publicly traded securities of Carter’s Inc.’s from March 16, 2005 to November 10, 2009, inclusive. $20,000,000.00
Motorola, Inc. 5/28/2012 All persons and entities who purchased or otherwise acquired the publicly-traded securities of Motorola, Inc. from July 19, 2006 to January 4, 2007, inclusive. $200,000,000.00
Northfield Laboratories, Inc. 5/1/2012 All persons who purchased or otherwise acquired the common stock of Northfield Laboratories, Inc. from August 16, 2004 to March 20, 2006, inclusive. $1,500,000.00
PacketPort.com, Inc. 8/1/2012 All individuals and entities who purchased PacketPort.com, Inc. common stock from December 13, 1999 to April 11, 2000, inclusive. $1,075,000.00
Pilgrim’s Pride Corporation 6/9/2012 All persons or entities who purchased or otherwise acquired the common stock of Pilgrim’s Pride Corporation from May 5, 2008 to October 28, 2008, inclusive, including all persons and entities who purchased the common stock of Pilgrim’s Pride pursuant and/or traceable to any registration statement, prospectus, prospectus supplement or any documents therein incorporated by reference filed with the SEC in connection with the Company’s May 14, 2008 Secondary Offering. $1,500,000.00
Regions Morgan Keegan
Funds
6/16/2012 All shareholders of seven Regions Morgan Keegan Mutual Funds that had investments January 1, 2007 through and including March 31, 2008; the affected funds are:
• Regions Morgan Keegan Select Intermediate Bond Fund;
• Regions Morgan Keegan Select High Income Fund;
• Regions Morgan Keegan Advantage Income Fund;
• Regions Morgan Keegan High Income Fund;
• Regions Morgan Keegan Multi-Sector High Income Fund;
• Regions Morgan Keegan Strategic Income Fund; and
• Regions Morgan Keegan Select Short Term Bond Fund.
$200,300,000.00
Wachovia Corporation 6/27/2012 All persons who purchased or otherwise acquired Wachovia Corporation common stock between May 8, 2006 and September 29, 2008, inclusive, and were damaged thereby, and a subclass of all persons who acquired Wachovia common stock through any of Wachovia’s (a) offerings of common stock in connection with its acquisitions of Golden West Financial Corp., and/or A.G. Edwards, Inc., and/or (b) April 14, 2008 common stock offering. $75,000,000.00
Washington Mutual, Inc 7/2/2012 All persons who purchased the common stock of Washington Mutual, Inc. from April 15, 2003 to June 28, 2004, inclusive. $41,500,000.00

March 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Fidelity Ultra-Short Bond Fund 4/27/2012 All persons and entities who purchased or otherwise acquired Fidelity Ultra-Short Bond Fund shares from June 06, 2005 to June 05, 2008, inclusive. $7,500,000.00
Nalco Chemical Company 4/13/2012 All holders of the common stock of Nalco Chemical Company as of June 1999. $8,390,980.00
SearchMedia Holdings Limited 6/22/2012 All persons or entities who: (i) purchased or otherwise acquired SearchMedia Holdings Limited or Ideation Acquisition Corp securities between April 1, 2009 and August 20, 2010, inclusive; or (ii) held common stock of Ideation on October 2, 2009, and were eligible to vote at Ideation’s October 27, 2009 special meeting. $2,750,000.00

February 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Apollo Group, Inc. 5/2/2012 All persons who purchased or otherwise acquired the securities of the Apollo Group, Inc. from February 27, 2004 through and including September 14, 2004 and held that stock through September 21, 2004. $145,000,000.00
Beckman Coulter, Inc. 4/12/2012 Any person or entity who purchased or otherwise acquired the common stock of Beckman Coulter, Inc. from July 31, 2009 to July 22, 2010, inclusive. $5,000,000.00
Focus Media Holding Ltd. 4/5/2012 All persons who purchased or acquired Focus Media Holding Limited American Depository Shares or American Depository Receipts from September 27, 2007 to November 19, 2007, inclusive, and including without limitation Focus Media’s November 2007 Secondary Public Offering. $2,000,000.00
Merrill Lynch Mortgage Investors, Inc. 4/25/2012 All persons or entities who purchased or otherwise acquired Merrill Lynch Alternative Note $315,000,000.00
Asset Trust Series 2007-A3, 2007-AF1, 2007-F1, Merrill Lynch First Franklin Mortgage Loan Trust Series 2007-2, 2007-3, 2007-4, 2007-A, Merrill Lynch Mortgage Investors Trust Series 2006 MLN1, 2006-FM1, 2006-FF1, 2006-RM5, MLCC 2006-2, 2006-AHL1, 2006-RM3, 2006-WMC1, 2006-WMC2, 2006-A1, Ownit Mortgage Loan Trust Series 2006-2 and who were damaged thereby.
$315,000,000.00
Westland Development Co., Inc. 4/2/2012 All persons who held the outstanding shares of Westland Development Company, Inc. common stock as of the close of business on September 18, 2006. $3,778,700.00

January 2012 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Acura Pharmaceuticals 3/19/2012 All who purchased or otherwise acquired the publicly-traded common stock of Acura Pharmaceuticals, Inc. between February 21, 2006, and April 22, 2010, inclusive, or purchased or otherwise acquired call options on the common stock of Acura Pharmaceuticals between February 21, 2006, and April 22, 2010, inclusive, or sold or otherwise disposed of put options on the common stock of Acura Pharmaceuticals between February 21, 2006, and April 22, 2010, inclusive. $1,500,000.00
Cadence Design Systems, Inc. 3/1/2012 All persons who purchased Cadence Design Systems, Inc. common stock, put and call options, 1.375% Notes due December 15, 2011, and 1.5% Notes due December 15, 2013, between April 23, 2008 and December 10, 2008, inclusive. $38,000,000.00
Medicis Pharmaceutical Corp. 2/18/2012 All persons who purchased or otherwise acquired the common stock of Medicis Pharmaceutical Corp., or who purchased and/or sold options on Medicis’ common stock from October 30, 2003 through September 23, 2008, inclusive. $18,000,000.00
Merit Securities Corp. 6/4/2012 All purchasers of Merit Securities Corp.’s Collateralized Bonds Series 12-1 and Series 13 Bonds during the period February 07, 2000 to May 13, 2004, inclusive. $7,500,000.00
National City Corp. 3/9/2012 All persons who purchased or otherwise acquired the common stock of National City Corp. during the period April 30, 2007 through April 21, 2008, inclusive. There is also a subclass of all persons who acquired National City common stock issued pursuant to a National City registration statement filed with the SEC in connection with National City’s acquisition of MAF Bancorp, Inc. on or about September 1, 2007. $168,000,000.00
Nortel Networks Corp. 3/16/2012 All persons who purchased or acquired Nortel Networks Corporation common stock between October 24, 2000 through the close of the markets on February 15, 2001 and/or April 24, 2003 through the close of the markets on April 27, 2004. $35,500,000.00
Redline Communications
Group Inc.
3/5/2012 All who purchased common stock of Redline Communications Group Inc., and Redline Communications, Inc. traded on the Alternative Investment Market during the period from December 06, 2006 to and including January 2, 2009 and on the TSX on October 25,2007 to March 15, 2010 and who held some or all of those shares on March 15, 2010. $3,468,210.00
TeleNav, Inc. 2/27/2012 All persons who purchased TeleNav, Inc. common stock pursuant to and/or traceable to the Company’s initial public offering on or about May 13, 2010 through September 2, 2010, inclusive. $3,800,000.00

November 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Akeena Solar, Inc. 12/19/2011 All persons who purchased or otherwise acquired Akeena Solar, Inc. common stock from December 26, 2007 to March 13, 2008, inclusive. $4,770,000.00
Ambassadors Group Inc. 12/19/2011 All persons who purchased Ambassadors Group Inc. publicly-traded securities on the open market from July 24, 2007 to October 23, 2007, inclusive. $7,500,000.00
FleetBoston Financial Corp. 11/29/2011 On behalf of all persons or entities who: (a) exchanged shares of Summit Bancorp (“Summit”) common stock for shares of FleetBoston Financial common stock in connection with the FBF-Summit Merger pursuant to the Registration Statement and Prospectus filed by FBF on or about January 25, 2001; and (b) sold such shares of FBF common stock during the period, which (i) began when the investing public could have reasonably learned about the content of FBF’s disclosure that was made on or after December 19, 2001, and (ii) ended on November 6, 2003, the last day during which the FBF shares traded below the price paid on the open market on the date of the BF-Summit Merger (i.e. $41.00 per share); and (c) sustained damages as a result of such transactions. $5,500,000.00

October 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Giant Interactive Group, Inc. 12/15/2011 All persons who purchased Giant Interactive Group, Inc. American Depositary Shares pursuant and/or traceable to the Company’s initial public offering on November 1, 2007. $13,000,000.00
Harmony Gold Mining Co. Ltd. 1/9/2012 All persons and entities who, during the period inclusively between April 25, 2007 and August 7, 2007 satisfy subsection (a) and/or subsection (b) below, and who suffered damages as a result: a) Purchased Harmony Gold Mining Co. Ltd. American Depository Receipts on the New York Stock Exchange or NASDAQ, and who i.Sold those same ADRs on August 6 or August 7, 2007; or ii.Held those same ADRs through August 7, 2007; b) Sold put options or purchased call options on Harmony ADRs on the Chicago Board
Options Exchange, and who i. Purchased those same put options on August 6 or 7, 2007; ii. Sold those same call options on August 6 or 7, 2007; or iii. Held those same option positions through August 7, 2007.
$9,000,000.00
International Coal Group, Inc. 11/15/2011 All persons who purchased securities of International Coal Group, Inc. from April 28, 2005 to June 06, 2006, inclusive. $1,375,000.00
Merix Corporation 2/8/2010 All persons who held any Merix Corp. common stock continuously from October 6, 2009 through the consummation of the merger on February 16, 2010. $1,500,000.00
MF Global, Ltd. 12/27/2011 Any person or entity who purchased or otherwise acquired MF Global, Ltd. common stock pursuant or traceable to the Registration Statement and Prospectus issued in connection with the Company’s Initial Public Offering on or about July 19, 2007 $90,000,000.00
Motorola, Inc. 11/25/2011 All persons who purchased the common stock of Motorola, Inc. from Oct 25, 2007 to Jan 22, 2008, inclusive. $3,150,000.00
Prudential Financial, Inc. 12/23/2011 All purchasers of the 9% Junior Subordinated Notes of Prudential Financial, Inc. from June 24, 2008 through March 12, 2009, inlcusive, pursuant to and/or traceable to a registration statement and prospectus issued in connection with Prudential’s June 24, 2008 initial public offering of the Notes.v $16,500,000.00
RHI Entertainment, Inc. 11/21/2011 All persons who purchased the common stock of RHI Entertainment, Inc. pursuant and/or traceable to the Company’s initial public offering on or about June 19, 2008. $2,500,000.00
Taxable Steam Utility Revenue Bond Anticipation Notes 10/31/2011 All persons or entities who purchased or holds City of Menasha, Calumet and Winnebago Counties, Wisconsin, $12,660,000 Taxable Steam Utility Revenue Bond Anticipation Notes due September 1, 2009 from February 1, 2005 to September 1, 2009, and/or Menasha $11,500,000 Taxable Steam Utility Revenue Bond Anticipation Notes due September 1, 2009 ) from December 1, 2006 to September 1, 2009. $17,500,000.00
Wachovia Preferred Securities and Bonds 12/28/2011 All persons and entities who purchased or otherwise acquired certain Wachovia Corporation bonds or preferred securities from the first date on which any of the Bond Class Securities were offered through and including February 27, 2009. $627,000,000.00
Wells Fargo (Mortgage-
Backed Securities Pass-
Through Certificates)
12/7/2011 On behalf of all persons or entities who purchased or otherwise acquired mortgage pass- through certificates pursuant to Wells Fargo Asset Securities Corporation’s July 29, 2005 Registration Statement, October 20, 2005 Registration Statement, or September 27, 2006 Registration Statement and the accompanying prospectuses and prospectus supplements in the following 28 offerings: WFMBS 2006-1, WFMBS 2006-2, WFMBS 2006-3, WFMBS 2006-4, WFMBS 2006-6, WFMBS 2006-ARl, WFMBS 2006-AR2, WFMBS 2006-AR4, WFMBS 2006-AR5, WFMBS 2006-AR6, WFMBS 2006-AR8, WFMBS 2006-ARl0, WFMBS 2006-
ARll, WFMBS 2006-AR12, WFMBS 2006-AR14, WFMBS 2006-AR17, WFMBS 2007-11, WFMBS 2006-7, WFMBS 2006-10, WFMBS 2006-AR16, WFMBS 2006-18, WFMBS 2006- AR19, WFMBS 2006-20, WFALT 2007-PA1, WFMBS 2007-AR4, WFMBS 2007-10, WFMBS 2007-13, and WFMBS 2006-AR15.
$125,000,000.00

September 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Ambac Financial Group, Inc. 10/24/2011 All persons and entities who purchased or otherwise acquired any Ambac Financial Group, Inc. securities, including Ambac equity or debt securities or options thereon, or any Structured Repackaged Asset-Backed Trust Securities, Callable Class A Certificates, Series 2007-1, STRATS Trust for Ambac Financial Group, Inc. Securities, Series 2007-1, during the period between October 19, 2005 through and including July 18, 2009, including Ambac Securities in or traceable to the February 2007 Directly-Issued Subordinated Capital Securities offering. $33,000,000.00
Canadian Superior Energy, Inc. 12/7/2011 All persons who purchased or otherwise acquired Canadian Superior Energy Inc. common stock from January 14, 2008 to February 17, 2009, inclusive, other than members of the Canadian Class and excluded persons. $5,200,000.00
Infineon Technologies AG 10/24/2011 All persons who purchased or otherwise acquired Infineon Technologies AG securities on a United States Securities Exchange from March 13, 2000 to July 19, 2004, inclusive. $6,200,000.00
Lancer Partners, L.P. 10/21/2011 On behalf of all persons or entities that purchased or held shares and/or interests in Lancer Partners, L.P. during the period from September 9, 1997 through July 8, 2003;On behalf of all persons or entities that purchased or held shares and/or interests in Lancer Offshore, Inc. and/or the Omnifund Ltd. during the period from September 3, 1998 through July 8, 2003; andOn behalf of all securities purchasers and/or holders of shares of Lancer Offshore, Inc. or the OmniFund Ltd. successor fund to the Orbiter Fund, Ltd. and the Viator Fund, Ltd. during the period of September 3, 1998 through and including July 8, 2003. $5,000,000.00
NetBank, Inc. 12/10/2011 All persons who purchased or otherwise acquired publicly-registered common stock of NetBank, Inc. inclusively from March 16, 2005 to May 21, 2007, and held such stock as of May 21, 2007. $12,500,000.00
NexCen Brands, Inc. 1/31/2012 All persons or entities who purchased the publicly-traded common stock of NexCen Brands, Inc. from March 13, 2007 to May 18, 2008, inclusive. $4,000,000.00
UniDyn Corporation 10/19/2011 All those who purchased UniDyn Corporation common stock from December 01, 1997 to May 23, 2002, inclusive. $4,100,000.00
Wamex Holdings, Inc. 10/27/2011 All persons who purchased or acquired: (i) Wamex Holdings, Inc. common stock from December 1, 1999 through April 6, 2000; (ii) U.N. Dollars Corp. common stock from December 1, 1999 through March 13, 2000; (iii) AbsoluteFuture.com common stock from
December 1, 1999 through May 31, 2000; and (iv) Ramoil Management, Ltd. common stock from December 29, 1999 through May 31, 2000, inclusive.
$14,256,200.00
Washington Mutual, Inc 12/8/2011 All persons who acquired any of the following Washington Mutual, Inc. securities between October 19, 2005 and July 23, 2008, inclusive, and were damaged thereby: (1) WMI common stock;(2) Floating Rate Notes due August 24, 2009, offered in August 2006;
(3) 7.250% Subordinated Notes due November 1, 2017, offered in October 2007;(4) 7.75% Series R Non-Cumulative Perpetual Convertible Preferred Stock, offered in December 2007;(5) Washington Mutual Capital Trust 2001’s 5.375% Trust Preferred Income Equity Redeemable Securities
$208,500,000.00

August 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Accuray, Inc. 9/12/2011 All purchasers of Accuray Inc. common stock from February 07, 2007 to August 19, 2008, inclusive $13,500,000.00
Alstom S.A. 9/19/2011 All persons or entities who purchased the publicly-traded American Depositary Shares of Alstom S.A. on the New York Stock Exchange from August 03, 1999 to August 06, 2003, inclusive, and U.S. residents who purchased Alstom ordinary shares on non-United States exchanges from August 03, 1999 to August 06, 2003, inclusive. $6,950,000.00
Corus Bankshares, Inc. 9/19/2011 All persons who purchased or acquired the common stock of Corus Bankshares, Inc. from January 25, 2008 to January 30, 2009, inclusive. $10,000,000.00
DG FastChannel, Inc. 10/24/2011 Any person or entity who purchased or otherwise acquired the publicly traded securities of DG FastChannel, Inc. from February 16, 2010 to August 29, 2010, inclusive. $2,000,000.00
Franklin Templeton Family of Mutual Funds 12/12/2011 Every person who, from February 06, 1999 to February 04, 2004, inclusive, purchased, owned or held shares in any of the following mutual funds in the Franklin Templeton Funds: Templeton Foreign Fund; Templeton Developing Markets Trust; Templeton Global Smaller Companies Fund; Templeton Global Opportunities Trust; Franklin California Growth Fund; Templeton Greater European Fund; Templeton World Fund; Templeton Growth Fund, Inc.; Franklin California Tax-Free Income Fund; Franklin Federal Tax-Free Income Fund; or Templeton Pacific Growth Fund. $4,437,370.00
GT Solar International, Inc. 11/9/2011 All persons or entities who purchased or otherwise acquired the common stock of GT Solar International, Inc. from the effective date of the Company’s Registration Statement, through and including July 24, 2008, or who purchased or otherwise acquired the common stock of GT Solar pursuant or traceable to the filed Form S-1A on July 23, 2008 or prospectus filed on Form S-1A on July 24, 2008 filed in connection with GT Solar’s July 24, 2008 initial public offering. $10,500,000.00
Harris Stratex Networks, Inc. 9/19/2011 All persons and entities that acquired the common stock of Harris Stratex Networks, Inc. from January 29, 2007 to July 30, 2008, inclusive – including former shareholders of Stratex Networks, Inc, who acquired shares of Harris Stratex pursuant or traceable to the Company’s Registration Statement and Prospectus that became effective on January 8, 2007. $8,900,000.00
InterVoice-Brite, Inc. 10/7/2011 All persons who purchased or otherwise acquired the common stock of InterVoice-Brite, Inc. from October 12, 1999 to June 06, 2000, inclusive. $4,750,000.00
Levitt Corp. 9/25/2011 All persons or entities that purchased or acquired the securities of Levitt Corporation from January 31, 2007 to August 14, 2007, inclusive. $1,950,000.00
Oppenheimer Champion
Income Fund
10/30/2011 All persons or entities who purchased or otherwise acquired shares of the Oppenheimer Champion Income Fund from January 01, 2006 to December 31, 2008, inclusive. $52,500,000.00
Oppenheimer Core Bond Fund 10/30/2011 All persons and entities who purchased or otherwise acquired shares of the Oppenheimer Core Bond Fund from April 30, 2007 to December 31, 2008, inclusive. $47,500,000.00
Popular Inc. 10/11/2011 All persons and entities who purchased or acquired Popular, Inc. common stock and/or 8.25% non-cumulative monthly income preferred stock Series B from January 24, 2008 to February 19, 2009, inclusive. $37,500,000.00
SemGroup Energy Partners, L.P. 10/15/2011 All persons and entities who purchased or held SemGroup Energy Partners, L.P. common units during the period from July 17, 2007 through and including July 17, 2008, including those SGLP common units issued pursuant or traceable to the Registration Statements and Prospectuses filed with the SEC in connection with SGLP’s July 17, 2007 initial public offering and February 14, 2008 public offering. $28,000,000.00

June 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Addus HomeCare Corp. 8/17/2011 All persons and/or entities who purchased or otherwise acquired the common stock of Addus HomeCare Corp. from October 27, 2009 to March 18, 2010, inclusive. $3,000,000.00
Bernard L. Madoff Investment Securities LLC 8/31/2011 All persons who: were holders of limited partnership interests in or shares of the Rye Funds or the Tremont Funds as of December 11, 2008; or, purchased limited partnership interests in or shares of the Rye Funds or the Tremont Funds between May 10, 1994 through and
including December 11, 2008; or, are a holder of limited partnership interests in or shares of any of the Settling Funds.
$100,000,000.00
Credit Suisse Group 8/1/2011 All persons or entities who purchased or otherwise acquired American Depositary Shares trading on the New York Stock Exchange, or who were U.S. residents who purchased Credit
Suisse Group shares on a foreign exchange during the period February 15, 2007 through April 14, 2008 inclusive.
$70,000,000.00
First Trust Portfolios L.P. 7/20/2011 All person who purchased shares of First Trust Strategic High Income Fund between July 26, 2005 and July 7, 2008, inclusive, First Trust Strategic High Income Fund II between
March 28, 2006 and July 7, 2008, inclusive, or First Trust Strategic High Income Fund III
between March 28, 2007 and July 7, 2008 inclusive, and who were damaged thereby.
$5,150,000.00
Semtech Corp. 7/24/2011 All persons and entities who purchased or otherwise acquired the common stock of Semtech Corp. from August 27, 2002 to July 19, 2006, inclusive. $20,000,000.00
Signalife, Inc. 6/20/2011 All purchasers of the publicly traded common stock of Signalife, Inc. f/k/a Recom Manged Systems, Inc. and n/k/a Heart Tronics, Inc. from February 10, 2004 to April 14, 2008, inclusive. $4,000,000.00
Tellabs, Inc. 9/2/2011 All persons who purchased the common stock of Tellabs, Inc. from December 11, 2000 to June 19, 2001, inclusive $7,375,000.00

March 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
AtriCure, Inc. 4/21/2011 All persons who purchased the common stock of AtriCure, Inc. pursuant and/or traceable to the Company’s initial public offering on or about August 4, 2005 through February 16, 2006,
inclusive.
$2,000,000.00
Fuwei Films (Holdings) Co., Ltd. 3/10/2011 All persons who purchased or otherwise acquired the common stock of Fuwei Films (Holdings), Co., Ltd. from December 19, 2006 to November 12, 2007, inclusive. $2,150,000.00
Household International, Inc. 5/24/2011 All persons who purchased or otherwise acquired the common stock of Household International, Inc. from October 23, 1997 to October 11, 2002, inclusive. $1,500,000.00
Huron Consulting Group Inc. 5/5/2011 All persons or entities who purchased or otherwise acquired common stock of Huron Consulting Group Inc. from April 27, 2006 to July 31, 2009, inclusive. $27,000,000.00
Navistar International Corporation 6/14/2011 All persons who purchased Navistar International Corp. common stock on the open market from February 14, 2003 to July 17, 2006, inclusive. $13,000,000.00
United Rentals, Inc. 3/31/2011 All persons or entities who purchased and/or acquired United Rentals, Inc. common stock, notes and options from February 28, 2001 to August 30, 2004, inclusive. $14,000,000.00

February 2011 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Allot Communications Ltd. 3/28/2011 All persons who purchased or otherwise acquired the common stock of Allot Communications Ltd. pursuant and/or traceable to the Company’s initial public offering on November 15, 2006, through April 2, 2007, inclusive. $1,300,000.00
Electro-Optical Systems Corp. 1/24/2011 All investors who purchased the common stock of Electro-Optical Systems Corp. between December 19, 1997 and March 13, 1998, inclusive. $9,504,090.00
Jasmine, Ltd. 4/21/2011 All persons who purchased the securities of Jasmine, Ltd., issued pursuant to the registration statement or prospectus in effect for the initial public offering or during the class period from December 15, 1993 to June 20, 1995, inclusive. $650,000.00
LG.Philips LCD Co., Ltd. 4/16/2011 All persons who purchased or otherwise acquired publicly traded LG Display Co., Ltd. (f/k/a LG.Philips LCD Co., Ltd.) securities, including, but not limited to, LG Display common shares or American Depository Shares, from July 16, 2004 to December 11, 2006, inclusive. $18,000,000.00
NeoPharm, Inc. 4/11/2011 All persons who purchased or otherwise acquired the common stock of NeoParm, Inc. from January 14, 2002 to April 19, 2002, inclusive. $3,350,000.00
Orion Energy Systems, Inc. 4/18/2011 All persons who purchased Orion Energy Systems, Inc. common stock pursuant and/or traceable to the Company’s initial public offering on or about December 18, 2007 through February 7, 2008, inclusive. $3,250,000.00
Tyco International Ltd. 5/6/2011 All Tyco International Ltd. investors who purchased or acquired Tyco common stock from December 1, 1997 and March 13, 2003, inclusive.This also includes investors who aquired Tyco common stock as the result of a merger between December 1, 1997 and March 13, 2003 with, however not limited to, the following companies: AMP Inc.; U.S. Surgical; Mallinckrodt, Inc.; CIGI Investment, Inc.; InnerDyne, Inc.; Scott Health & Safety; The CIT Group, Inc.; Sensormatic Electronics Corp.; or Tycom Ltd. $50,000,000.00
Veritas Software 4/19/2011 All persons who invested in the common stock, certain convertible subordinated notes, or options of Veritas Software Corporation from January 03, 2001 to January 16, 2003, inclusive. $30,888,700.00
Westaff, Inc 4/8/2011 Holders of Westaff, Inc. common stock, as of the close of trading on February 20, 2009, who were entitled to vote at a special meeting of stockholders of Westaff on March 17, 2009 on the merger by and among Westaff, Koosharem Corporation
and Select Merger Sub Inc.,a wholly-owned subsidiary of Koosharem. Also, those who exchanged Westaff Stock for the right to receive $1.25 in the Merger.
$1,642,500.00

[table “17” not found /]

December 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Dendreon Corp. 3/10/2011 All persons and entities who purchased the common stock of Dendreon Corporation (“Dendreon”) from March 29, 2007 to May 08, 2007, inclusive. $16,500,000.00
Force Protection, Inc. 3/11/2011 All persons who purchased Force Protection, Inc. (“Force Protection” or the “Company”) common stock between January 18, 2007 and March 14, 2008, inclusive. $24,000,000.00
Gildan Activewear Inc. 3/10/2011 On behalf of all persons who purchased or otherwise acquired common shares of Gildan Activewear Inc. (“Gildan” or the “Company”) during the period from and including August 2, 2007 to and including April 29, 2008 and either: (i) are now or were at the time of the purchase or acquisition U.S. residents or (ii) purchased or otherwise acquired such shares on the New York Stock Exchange; other than (i) Excluded Persons; and (ii) members of the
Québec Class.
$22,500,000.00
GSI Group Inc. 3/11/2011 All persons or entities who purchased or otherwise acquired GSI Group Inc. (“GSI Group” or the “Company”) common stock from February 27, 2007 to June 30, 2009, inclusive. $3,250,000.00
Hemispherx Biopharma, Inc. 2/19/2011 All persons who purchased or otherwise acquired Hemispherx Biopharma, Inc. (“Hemispherx” or the “Company”) common stock between February 18, 2009 and December
01, 2009, inclusive.
$3,600,000.00
RSL Communications Ltd. 2/22/2011 All persons or entities who purchased or otherwise acquired RSL Communications Ltd. (“RSL” or the “Company”) common stock between April 30, 1999 and January 29, 2000, inclusive. $6,750,000.00
Sears Roebuck & Co. 4/21/2011 All:
(a) Investors who sold Sears, Roebuck & Co.’s (“Sears” or the “Company”) shares during the Class Period excluding the short sellers of Sears’ shares, except for those short sellers who remained in a short position at the close of trading on November 16, 2004; (b) Sellers of Sears’ call options during the Class Period whose call option positions remained open (were not repurchased) after the close of trading on November 16, 2004; (c) Buyers of Sears’ put options who purchased their put options during the Class Period, whose put options positions remained open as of the close of trading on November 16, 2004; (d) Buyers of Sears’ call options during the Class Period whose call options expired worthless before the last day of the class period; and/or (e) Sellers of Sears’ put options during the Class Period who covered (repurchased) those put options during the Class Period.
$550,000.00
TomoTherapy, Inc. 1/18/2011 All those who purchased or acquired common stock TomoTherapy, Inc. between May 9, 2007 and July 31, 2008, inclusive; included in the Class are those persons who purchased
or acquired TOMO common stock pursuant to or traceable to TOMO’s May 9, 2007 Initial Public Offering and/or TOMO’s October 16, 2007 Secondary Public Offering.
$5,000,000.00

November 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Agria Corp. 1/14/2011 All persons who purchased the American Depository Shares of Agria Corp. pursuant and/or traceable to the Company’s initial public offering on or about November 6, 2007 through June 26, 2008, inclusive. $3,750,000.00
Goldman Sachs Group, Inc. 1/14/2011 Public investors who purchased or acquired the common stock of Goldman Sachs Group, Inc., between July 01, 1999 to May 07, 2002, inclusive. $29,000,000.00
Kinder Morgan, Inc. (f/k/a KN Energy, Inc.) 12/17/2010 All holders of Kinder Morgan, Inc. common stock between May 26, 2006 and May 30, 2007, inclusive. $200,000,000.00
Merix Corporation 2/12/2011 All persons and entities who purchased or otherwise acquired the common stock of Merix from an Underwriter Defendant (i.e., UBS Securities LLC, Thomas Weisel Partners LLC, Needham & Company, Inc., Wells Fargo Securities, LLC, Raymond James & Associates, Inc. and William Blair & Company, LLC) directly pursuant to Merix’s January 29, 2004 Offering, held the stock through May 13, 2004, and were damaged thereby. $2,500,000.00
National City Corp. 1/31/2011 All persons or entities who acquired shares of National City Corp. Common Stock pursuant to and/or traceable to the registration statement filed with the Securities and Exchange commission in connection with the National City’s Acquisition of Fidelity Bankshares, Inc. and who were damaged thereby $11,000,000.00
Opteum Inc. 12/23/2010 All persons who purchased the common stock of Opteum, Inc. on the open market during the Class Period, from September 29, 2005 to August 10, 2007, inclusive. $2,350,000.00
SafeNet, Inc. 2/14/2011 All persons or entities who purchased or acquired the common stock of SafeNet, Inc. during the period from March 31, 2003 through and including May 18, 2006. $25,000,000.00
Skilled Healthcare Group, Inc. 2/8/2011 (1) All persons other than Defendants who purchased the Class A common stock of Skilled Healthcare Group, Inc. (“SKH” or the “Company”) pursuant and/or traceable to the Company’s Registration Statement and Prospectus issued in connection with the Company’s Initial Public Offering on May 14, 2007, including purchasers through August 5, 2008 and (2) all persons other than Defendants who purchased the Class A common stock of SKH between May 14, 2007 and June 9, 2009 $3,000,000.00
The PMI Group, Inc. 12/21/2010 All persons who purchased or otherwise acquired the common stock of The PMI Group, Inc. between November 2, 2006 and March 3, 2008, inclusive. $31,250,000.00
The Spectranetics Corp. 2/21/2011 All persons or entities who purchased or otherwise acquired the common stock of The Spectranetics Corp. between March 16, 2007 and September 4, 2008, inclusive. $8,500,000.00
US Unwired, Inc. 12/13/2010 All persons who purchased the common stock of US Unwired, Inc. between May 7, 2001 and July 18, 2002, inclusive $9,700,000.00

September 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Abercrombie and Fitch Co. 11/3/2010 All persons who purchased or otherwise acquired publicly traded securities of Abercrombie & Fitch Co. from June 2, 2005 to August 16, 2005, inclusive. $12,000,000.00
China Organic Agriculture, Inc. 12/15/2010 All purchasers of the common stock of China Organic Agriculture, Inc. during the period
from July 12, 2007 through August 14, 2008, inclusive.
$600,000.00
Columbia Funds 12/8/2010 All persons and entities who purchased and/or held shares in the Columbia Mutual Funds referenced in the settlement notice from November 1, 1998 to February 25, 2004, inclusive. $12,653,000.00
Gilead Sciences, Inc. 12/6/2010 All persons who purchased the publicly traded securities of Gilead Sciences, Inc., including options, from July 14, 2003 to October 28, 2003, inclusive. $8,250,000.00
Herley Industries, Inc. 11/13/2010 All persons who purchased or otherwise acquired the publicly traded securities of Herley Industries, Inc. from October 1, 2001 to June 14, 2006, inclusive. $10,000,000.00
HiEnergy Technologies, Inc. 9/7/2010 All persons who acquired any common stock of HiEnergy Technologies, Inc. from February 22, 2002 to July 8, 2004, inclusive. $485,000.00
Jakks Pacific, Inc. 11/18/2010 All persons who purchased JAKKS Pacific, Inc. common stock from December 3, 1999 to October 19, 2004, inclusive. $3,925,000.00
Landry’s Restaurants, Inc. 12/6/2010 (i) All persons and entities who held shares of Landry’s Restaurants, Inc. (“Landry’s” or the “Company”) at any time between September 17, 2008 and January 11, 2009, inclusive; and
(ii) all persons and entities who held shares of Landry’s common stock at any point between November 3, 2009 and the closing of a sale/merger transaction of Landry’s.
$14,500,000.00
Massachusetts Financial
Services Co. & MFS Family of
Funds
12/8/2010 All persons who held, purchased or otherwise acquired shares in certain mutual funds in the
Massachusetts Financial Services Company family of mutual funds including MFS Emerging Growth Fund, MFS Research Fund, MFS Value Fund, Massachusetts Investors Trust,
Massachusetts Investors Growth Stock Fund, MFS Total Return Fund, MFS Government Securities Fund, MFS Government Mortgage Fund, MFS Capital Opportunities Fund, MFS Utilities Fund, MFS Mid Cap Growth Fund, MFS Managed Sectors Fund, MFS Growth Opportunities Fund, MFS Large Cap Growth Fund, MFS International Growth Fund, MFS Global Growth Fund, MFS Global Equity Fund, MFS High Income Fund, MFS Municipal Bond Fund, MFS Strategic Value Fund, MFS Research International Fund, and MFS New Discovery Fund, from July 31, 1999 to December 8, 2003, inclusive.
$75,042,200.00
Maxim Integrated Products,
Inc.
11/24/2010 All persons who purchased or otherwise acquired the publicly traded common stock of Maxim Integrated Products, Inc. from April 29, 2003 to January 17, 2008, inclusive. $173,000,000.00
Red Hat Inc 10/20/2010 All persons who purchased the common stock of Red Hat, Inc. from December 17, 2002 to July 12, 2004, inclusive. $20,000,000.00
ShoreTel, Inc. 3/17/2008 All persons or entities that purchased the common stock of ShoreTel, Inc. pursuant or traceable to ShoreTel’s Initial Public Offering Prospectus and Registration Statement, or on the open market from July 3, 2007 through January 29, 2008. $3,000,000.00
Strong Capital Management,
Inc.
12/8/2010 All all Strong Fund shareholders at any time during the Class Period, including, without limitation, investors in Strong Funds through nominee or omnibus accounts, from January 1, 1999 to December 31, 2004, inclusive. $13,678,500.00
Swank Energy Income
Advisers, LP (Cushing MLP Total Return Fund)
8/30/2010 All persons or entities who purchased or otherwise acquired shares of the Cushing MLP Total Return Fund (the “Fund”) between September 1, 2008, and December 19, 2008, inclusive, and who sold their shares after December 19, 2008, or who still hold them. $3,600,000.00
Take-Two Interactive
Software, Inc.
9/21/2010 All persons and entities who purchased or otherwise acquired common stock issued by Take-Two Interactive Software, Inc. from December 17, 2002 to July 10, 2006, inclusive. $20,115,000.00
Tetra Technologies, Inc. 10/29/2010 All purchasers of the publicly traded common stock of TETRA Technologies Inc. from May 3, 2006 to October 16, 2007 inclusive. $8,250,000.00

July 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
America Service Group, Inc. 8/16/2010 All persons or entities who purchased or otherwise acquired the publicly traded securities of America Service Group, Inc. from September 24, 2003 to March 16, 2006, inclusive. $10,500,000.00
Avaya, Inc. 9/9/2010 All persons who purchased or acquired Avaya, Inc. publicly traded securities, including options, from March 2, 2005 to April 19, 2005 inclusive. $4,500,000.00
Broadcom Corp. 8/13/2010 All persons or entities who purchased or otherwise acquired Broadcom Corp. Class A common stock from July 21, 2005 to July 13, 2006 inclusive. $160,500,000.00
Crompton Corp. 9/24/2010 All persons who purchased or otherwise acquired the securities of Crompton Corp. from October 26, 1998 to October 8, 2002, including without limitation all persons and entities that purchased or otherwise acquired Crompton securities pursuant to the merger between Crompton & Knowles Corporation and Witco Corporation. $11,357,500.00
Dyadic International, Inc. 9/13/2010 All persons and entities who purchased or acquired securities of Dyadic International, Inc. on a national securities exchange or an electronic quotation system, including, but not limited to, the American Stock Exchange or the OTC Bulletin Board, from October 29, 2004 to April 23, 2007 inclusive. $4,800,000.00
HealthSouth Corp. 9/29/2010 All persons who purchased or otherwise acquired the stock or options of HealthSouth Corp., including HealthSouth securities received in exchange for the stock or options of certain other companies acquired by HealthSouth between September 20, 2000 and March 18, 2003 inclusive and to all persons who purchased or otherwise acquired HealthSouth bonds,
notes or other debt instruments during the period between March 30, 2000 and March 18,
2003 inclusive.
$250,500,000.00
Huffy Corp. 9/13/2010 All persons and entities who purchased Huffy Corp. publicly-traded securities from April 16,
2002 to August 13, 2004, inclusive.
$8,000,000.00
Juniper Networks Inc. 9/21/2010 All persons and entities who purchased or otherwise acquired the publicly traded securities of Juniper Networks, Inc. (“Juniper Networks” or the “Company”) from July 11, 2003 through August 10, 2006, inclusive, and who did not sell such acquired securities before May 18, 2006, and were damaged, including (a) those who received or acquired Juniper common stock issued pursuant to a registration statement on SEC Form S-4, dated March 10, 2004, for the Company’s merger with NetScreen Technologies Inc.; and (b) purchasers of Zero
Coupon Convertible Senior Notes due June 15, 2008 issued pursuant to a registration statement on SEC Form S-3, dated November 20, 2003.
$169,500,000.00
MRV Communications, Inc. 9/25/2010 All persons that purchased the common stock of MRV Communications, Inc. from March 31, 2003 to October 8, 2009, inclusive. $10,000,000.00
NovaGold Resources, Inc. 9/15/2010 All persons, who: (i) purchased NovaGold Resources, Inc. (“NovaGold” ) common stock on the American Stock Exchange during the Class Period; (ii) are United States residents that purchased NovaGold common stock on the Toronto Stock Exchange from October 25, 2005 to January 16, 2008, inclusive; or (iii) are United States residents that purchased publicly traded NovaGold common stock by any other means from October 25, 2005 to January 16, 2008, inclusive, and were allegedly damaged thereby. $26,644,800.00
TyCom, Ltd. 10/1/2010 All persons or entities who purchased or otherwise acquired shares of TyCom Ltd. from July 26, 2000 to December 17, 2001 inclusive. $79,000,000.00
UTStarcom, Inc. 8/30/2010 All persons who purchased the publicly traded securities of UTStarcom, Inc. on the open market from February 21, 2003 to October 12, 2007, inclusive.
Page 2 of 2
$30,000,000.00

June 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Converium Holding AG 10/6/2010 All persons or entities who: (a) purchased common stock (ordinary shares) or American Depository Shares (“ADSs”) of of Converium Holding AG, now known as Scor Holding (Switzerland) Ltd. (“Converium”) from December 11, 2001 until, for purchasers of Converium common stock, the open of the Swiss markets on November 4, 2005 and, for purchasers of Converium ADSs, the open of the U.S.A. markets on November 4, 2005; and (b) held Converium common stock as of the open of the Swiss markets on November 4, 2005 and/or held Converium ADSs as of the open of the U.S.A. markets on November 4, 2005. $25,000,000.00
DaimlerChrysler AG 8/13/2010 All persons and entities who purchased or otherwise acquired DaimlerChrysler AG
(“Daimler Chrysler”) common stock contemporaneously with Tracinda Corp.’s sales of Daimler Chrysler’s stock on March 19, 1999, March 22, 1999, April 6, 1999, April 8, 1999, June 3, 1999, June 4, 1999, June 8, 1999, June 10, 1999, and June 11, 1999, or any date within four days after each of those dates.
$8,100,000.00
European Minerals
Corporation
7/5/2010 All individuals and entities, who purchased or acquired, for value, securities of European
Minerals Corporation, n/k/a Orsu Metals Corp, during the period from May 16, 2007 to April 11, 2008, inclusive.
$2,104,210.00
Global Cash Access Holdings,
Inc.
7/24/2010 All persons who purchased or acquired shares of the common stock of Global Cash Access Holdings, Inc. from September 22, 2005 to November 14, 2007 inclusive. $5,875,000.00
Leap Wireless International,
Inc.
9/20/2010 All persons who purchased or acquired Leap Wireless International, Inc. common stock from August 3, 2006 to December 26, 2007 inclusive. $13,750,000.00
Netlist, Inc. 8/2/2010 All persons who purchased or otherwise acquired NetList, Inc. (“NetList”) common stock pursuant or traceable to NetList’s November 29, 2006 Initial Public Offering during the period between November 29, 2006 and April 17, 2007 $2,600,000.00

May 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Comverse Technology, Inc. 8/5/2010 All persons who purchased Comverse Technology, Inc. from April 30, 2001 to January 29, 2008, inclusive. $225,000,000.00
General Growth Properties,
Inc.
7/19/2010 All persons and entities who purchased or otherwise acquired the common stock of General Growth Properties, Inc. from April 30, 2008 through October 24, 2008, inclusive. $15,500,000.00
Jos. A. Bank Clothiers, Inc. 6/30/2010 All persons who purchased Jos. A. Bank Clothiers, Inc. from December 5, 2005 to June 7, 2006 inclusive. $4,000,000.00
LDK Solar Co. Ltd. 8/16/2010 All persons and entities that (a) purchased LDK Solar Co., Ltd. American Depository Shares, (b) purchased call options for LDK American Depository Shares, or (c) sold put options for
LDK American Depository Shares from June 1, 2007 to October 7, 2007 inclusive.
$16,000,000.00
MoneyGram International, Inc. 7/22/2010 All persons who purchased or otherwise acquired the securities of MoneyGram International, Inc. from January 24, 2007 to March 25, 2008 inclusive. $80,000,000.00
PE Corporation Celera
Genomics Group
8/16/2010 All persons who purchased PE Corporation Celera Genomics Group common stock issued in or traceable to a Secondary Public Offering conducted by PE Corporation on February 29,
2000.
$11,000,000.00

April 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Collins & Aikman Corp. 6/8/2010 All individuals and entities who purchased or otherwise acquired the securities of Collins & Aikman Corp. from August 6, 2002 to May 17, 2005 inclusive. $12,262,500.00
CP Ships Limited (Canada) 6/7/2010 All Canadian citizens or individuals or entities resident, domiciled, or headquartered Canada, or organized under the laws of Canada or a Canadian province, who acquired securities of CP Ships Pacific during the period from January 29, 2003 to and including August 9, 2004, and held some or all of those securities on August 9, 2004. $12,027,400.00
Flowserve Corp. 6/8/2010 All persons who (1) purchased the publicly traded equity securities of Flowserve on or between February 6, 2001 and September 27, 2002, inclusive; or (2) purchased Flowserve common stock issued pursuant to Flowserve’s November 16, 2001 or April 16, 2002 public
offerings.
$55,000,000.00
Shuffle Master, Inc. 6/3/2010 All persons and entities who purchased or acquired Shuffle Master, Inc. common stock from February 1, 2006 to March 12, 2007 inclusive. $13,000,000.00

March 2010 Settlements

Company Name Proof of Claim Deadline Class Definition Settlement Amount
Adelphia Comm. 10/8/2010 All persons who purchased or otherwise acquired securities issued by Adelphia Communications Corp. or its subsidiaries from August 16, 1999 to June 10, 2002 inclusive. $6,725,000.00
Arotech Corp. 6/1/2010 All persons who purchased common stock of Arotech Corp. on the open market from November 9, 2004 to November 14, 2005 inclusive. $2,900,000.00
Huntsman Corporation 5/5/2010 All purchasers of the common stock of Huntsman Corporation during the period from May 9, 2008 through June 18, 2008, inclusive. $18,000,000.00
PETCO Animal Supplies, Inc. 4/28/2010 All persons who were holders of PETCO Animal Supplies, Inc. common stock from July 13, 2006 to October 26, 2006 inclusive. $16,000,000.00
Sequenom, Inc. 5/10/2010 All those who purchased or otherwise acquired Sequenom, Inc. common stock during the period from June 4, 2008 through April 29, 2009, inclusive. $14,000,000.00
Seragen, Inc. 6/7/2010 All holders and beneficial owners of shares of common stock of Seragen, Inc. on November 4, 1997 and on August 12, 1998. $4,375,000.00
Stone Energy Corp. 5/22/2010 All persons or entities who purchased or otherwise acquired the common stock of Stone Energy Corp. from May 2, 2001 to March 10, 2006 inclusive. $10,500,000.00
SunOpta, Inc. 6/11/2010 All persons who purchased or otherwise acquired SunOpta, Inc. securities during the period from February 23, 2007 through January 27, 2008, inclusive. $11,250,000.00
Company Name Proof Of Claim Deadline Class Definition Settlement Amount
21st Century Holding Corp. 1/20/2010 All purchasers of the common stock of 21st Century Holding Co. from October 3, 2006 to May 3, 2007 inclusive. $2,240,000.00
American Home Mortgage Investment Corp. 3/1/2010 All persons or entities who purchased or otherwise acquired American Home Mortgage Investment Corp. (“AHM”) common and/or preferred stock during the period from July 19, 2005 through and including August 6, 2007 on the open market, inclusive; and all persons or entities who purchased or otherwise acquired shares of AHM common stock pursuant or traceable to the registration statements issued in connection with secondary offerings conducted on or about August 9, 2005 and on or about April 30, 2007 through and including August 6, 2007. $37,250,000.00
Atlas Mining Co. 5/6/2010 All persons or entities who purchased the common stock of Atlas Mining Company from January 19, 2005 to October 8, 2007. $1,250,000.00
Calpine Corp. 2/2/2010 All persons who purchased Calpine Corporation (“Calpine”) common stock between April 24, 2002 and March 3, 2003 issued pursuant to, or traceable to, the Prospectus utilized in Calpine’s April 24, 2002 public offering. $43,000,000.00
Enron Corp. 2/16/2010 All persons who purchased publicly traded securities of Enron Corporation (or securities issued by Enron-related entities the value or repayment of which was dependent on the credit, financial condition, or ability to pay of Enron) during the class period. The Net Settlement Fund from the settlement with Goldman Sachs will be distributed ONLY to Persons who purchased or acquired 7% Notes of Enron Corporation during the period August 10, 1999 through December 2, 2001. This is the only eligible security for this partial settlement. $11,500,000.00
Globalstar, Inc. 3/26/2010 All purchasers of Globalstar, Inc. common stock pursuant to a $127.5 million initial public offering of 7.5 million shares of Globalstar common stock at $17.00 per share on or about November 3, 2006. $1,500,000.00
Hollinger International Inc. 2/15/2010 All persons who purchased Hollinger International, Inc. or Hollinger Inc. securities between August 13, 1999 and March 31, 2003, inclusive, including persons living in the United States, Canada, or elsewhere. $1,722,966.00
Hovnanian Enterprises Inc. 2/12/2010 All persons who purchased or otherwise acquired Hovnanian Enterprises, Inc. (“Hovnanian”) securities from June 30, 2005 through December 19, 2007, inclusive; all persons who purchased or otherwise acquired call options on Hovnanian securities during the period from June 30, 2005 through December 19, 2007, inclusive; all persons who sold or otherwise disposed of Put Options on Hovnanian securities. $4,000,000.00
International Rectifier Corp. 2/6/2010 All persons and entities who purchased or acquired the publicly traded common stock of International Rectifier Corp. on or after July 31, 2003 through and including February 11, 2008. $90,000,000.00
Marsh & McLennan Companies, Inc. 2/22/2010 All persons that purchased or otherwise acquired Marsh & McLennan Companies, Inc. securities from October 14, 1999 to October 13, 2004 inclusive. $400,000,000.00
Nature’s Sunshine Products, Inc. 1/19/2010 All persons who purchased the common stock of Nature’s Sunshine Products, Inc. from April 23, 2002 through April 5, 2006 inclusive. $6,000,000.00
Opnext, Inc. 2/5/2010 All persons who purchased or otherwise acquired the common stock of Opnext, Inc. pursuant or traceable to Opnext’s February 14, 2007 Initial Public Offering during the time period between February 14, 2007 and February 13, 2008, inclusive. $2,000,000.00
Royal Dutch Shell 11/5/2010 All persons or entities who purchased: stock or stock equivalents issued by the Royal Dutch Petroleum Company or The “Shell” Transport and Trading Company, p.l.c., Shell call options, Shell put options (or like instruments) on a United States exchange or market; and/or stock or stock equivalents issued by Shell, Shell call options (or like instruments), Shell put options (or like instruments) on one or more exchanges or markets outside of the United States and, at the time of purchase, were residents or citizens of, or were incorporated in or created under the laws of the United States (including its states, territories and possessions). $352,600,000.00
Sara Lee Corp. 2/25/2010 All purchasers of the common stock of Sara Lee Corp. from August 1, 2002 to April 24, 2003 inclusive. $4,250,000.00
StarTek Inc. 1/22/2010 All persons (and their beneficiaries) who purchased the common stock of StarTek, Inc. from February 26, 2003 to May 5, 2005 inclusive. $7,500,000.00
Syntax-Brillian Corp. 1/8/2010 All persons who purchased or otherwise acquired Syntax-Brillian Corp. between February 9, 2007 and November 14, 2007. For all claims brought under the Securities Act of 1933, as opposed to claims under the Securities Exchange Act of 1934, only those persons or entities who purchased or otherwise acquired Syntax Securities in the Company’s secondary public offering on May 24, 2007 directly from an underwriter or participating dealer are included. $10,000,000.00