Nasdaq ’Threshold’ Securities for Oct. 15

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.

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                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
ABWTQ   ABITIBIBOWATER, INC.                                  18
AIXG    AIXTRON AKTEINGESESELLSCHAFT A                         8
BGMO    BERGAMO ACQUISITION CORPORATIO                        10
BICK    FIRST TRUST ISE BICK INDEX FUN                         2
BLOAQ   BLOCKBUSTER INC CL-A                                  14
BYVVF   BAYFIELD VENTURES CORP                                 6
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
CCME    CHINA MEDIAEXPRESS HOLDINGS IN                        15
CFWFF   CALFRAC WELL SERVICES LTD                              4
CIBEY   COMMERCIAL INTERNATIONAL BK LT                         3
CIHD    CHANGDA INTL HLDGS INC NEW (NV                         3
CU      FIRST TRUST ISE GLOBAL COPPER                         20
DCHAF   DACHA STRATEGIC METALS,  INC O                         7
ENAB    ENABLE HOLDINGS, INC (DE)                              1
FOOD    VAUGHAN FOODS INC COM (OK)                             4
GWMGF   GREAT WESTERN MINERALS GROUP L                         8
GXEXF   GEOLOGIX EXPLORATIONS INC (CAN                        15
LGORF   LARGO RESOURCES LTD                                   13
OSIIF   OSI Geospatial Inc. Ordinary S                        21
PCBC    PACIFIC CAPITAL BANCORP NEW                           43
PLLVF   PALLADON VENTURES LTD                                 12
QBEIY   Q B E Insurance Group Ltd Unsp                         2
QQXT    FIRST TR NASDAQ -100 EX-TECHNO                         2
RHIE    RHI ENTERTAINMENT INC. COM STK                         6
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
SQQQ    PROSHARES ULTRAPRO SHORT QQQ                          81
STVZF   SILVERCREST MINES INC                                 18
THMRQ   THORNBURG MTG INC COM NEW (MD)                        19
TRXOF   Terrane Metals Corp. Ordinary                         18
YNGFF   YUKON-NEVADA GOLD CORP                                37
YRCWD   YRC WORLDWIDE INC NEW                                  7
=================================================================
SOURCE: Nasdaq

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

To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net

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