Nasdaq ’Threshold’ Securities for Sept. 28

The following is a list of “threshold securities” from the Nasdaq Stock Market, published daily in compliance with the U.S. Securities and Exchange Commission’s Regulation SHO.

The list consists of stocks for which sellers failed to deliver 10,000 shares or more in the past five trading days and the level of “fails” is a minimum of 0.5 percent of the shares outstanding. Securities are listed alphabetically by ticker.

                                                Consecutive Days
Ticker  Security Name                                    on List
ABWTQ   ABITIBIBOWATER, INC.                                   5
AMLZF   AFRICAN MINERALS LIMITED ORDIN                         9
ASGLY   ASAHI GLASS ADR                                        5
ATPT    ALL STATE PROPERTIES HOLDINGS                          3
BANID   BANNEKER INC. NEW  COMMON STOC                         3
BICK    FIRST TRUST ISE BICK INDEX FUN                        15
                                                Consecutive Days
Ticker  Security Name                                    on List
BLOAQ   BLOCKBUSTER INC CL-A                                   1
CCME    CHINA MEDIAEXPRESS HOLDINGS IN                         2
CU      FIRST TRUST ISE GLOBAL COPPER                          7
CYRX    CRYOPORT INC NEW COMMON STOCK                          4
FNMA    FANNIE MAE                                             2
FOOD    VAUGHAN FOODS INC COM (OK)                             3
GBBFF   GOLD BULLION DEVELOPMENT CORP                          7
GXEXF   GEOLOGIX EXPLORATIONS INC (CAN                         2
HLXW    Helix Wind, Corp. Common Stock                        50
LODE    COMSTOCK MNG INC  COM STK (NV)                        10
MDHI    MEDICAL ALARM CONCEPTS HLDG IN                         9
MVIS    MICROVISION INC (WASH)                                 4
NVLT    NOVELOS THERAPEUTICS, INC.                             2
OSIIF   OSI Geospatial Inc. Ordinary S                         8
PCBC    PACIFIC CAPITAL BANCORP NEW                           30
QADMF   QUADRA FNX MNG LTD COM SHS (CD                         2
QMIN    KENTUCKY ENERGY INC  COM STK (                        12
                                                Consecutive Days
Ticker  Security Name                                    on List
RELM    RELM HOLDINGS INC. COM                                14
RMCP    REVOLUTIONS MEDICAL CORP COM S                        12
SCOK    SINOCOKING COAL & COKE CHEMICA                        35
SCPZF   SPROTT RESOURCE CORP ORD SHS (                         2
SFOR    Strikeforce Technologies, Inc.                         3
SQQQ    PROSHARES ULTRAPRO SHORT QQQ                          68
STVZF   SILVERCREST MINES INC                                  5
SWKH    SWK HOLDINGS CORPORATION. COMM                        11
SXRZF   URANIUM ONE INC ORD SHS (CANAD                        14
THMRQ   THORNBURG MTG INC COM NEW (MD)                         6
TRMAQ   TRICO MARINE SERVICES INC NEW                         10
TRXOF   Terrane Metals Corp. Ordinary                          5
VCIT    VANGUARD INTERMEDIATE-TERM COR                         2
WNWG    WENTWORTH ENERGY INC NEW                               3
YNGFF   YUKON-NEVADA GOLD CORP                                24
SOURCE: Nasdaq

To contact the reporter on this story: Michael J. Munoz in Hong Kong at

To contact the editor responsible for this story: Alex Tanzi at

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