Nasdaq ’Threshold’ Securities for Jan. 20
By Daniel Petrie -
2011-01-21T07:10:00Z
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
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AIXG AIXTRON SEAMERICAN DEP SHRS 19
ATTD ATTITUDE DRINKS INC NEW COM ST 5
AVNDF AVENEX ENERGY CORP ORDINARY SH 14
AXAS ABRAXAS PETROLEUM CORP. 3
AXVEF ACREX VENS LTD 12
CANXF CANADIAN PHOENIX RES CORP ORD 12
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Consecutive Days
Ticker Security Name on List
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CCME CHINA MEDIAEXPRESS HOLDINGS IN 3
CDTI CLEAN DIESEL TECHNOLOGIES INC 4
CFGI CROWN FINANCIAL HOLDINGS, INC 8
CFWFF CALFRAC WELL SERVICES LTD 1
CIGX STAR SCIENTIFIC INC 4
CNET CHINANET ONLINE HLDGS INC COM 8
COWI CoroWare, Inc. New Common Stoc 37
CU FIRST TRUST ISE GLOBAL COPPER 86
CYRX CRYOPORT INC NEW COMMON STOCK 2
DEAR DEARBORN BANCORP INC 3
DUNR DUNE ENERGY INC NEW 23
ELTP ELITE PHARMACEUTICAL 1
EMIF ISHARES S&P EMERGING MARKETS I 12
EMMT ISHARES MSCI EMERGING MKTS MAT 5
EMPR EMPIRE PETROLEUM CORPORATION 4
ENHD Energroup Holdings Corporation 13
ESMNF EURASIAN MINERALS INC 13
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Consecutive Days
Ticker Security Name on List
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FLMTF FULL METAL MINERALS LTD 17
GCMI GEOS COMMUNICATIONS, INC. COMM 3
GENE GENETIC TECHS LTD 1
GGCRF SILVERMEX RESOURCES, INC. ORDI 38
GNTP GLOBAL ENTMT CORP NEW 9
HMRTY HOME RETAIL GROUP PLC SPONSORE 4
HOTJ HOUSE OF TAYLOR JEWELRY, INC. 56
INDY ISHARES S&P INDIA NIFTY 50 IND 12
INHC INNOLOG HOLDINGS CORP COMMON S 12
ISCHY Israel Chemicals Limited Unspo 17
KGJI KINGOLD JEWELRY INC. NEW COMMO 9
LCTZ LA CORTEZ ENERGY INC, INC COMM 2
LFUGY Li & Fung Ltd Unsponsored ADR 11
LGORF LARGO RESOURCES LTD 26
LIVC Live Current Media Inc. Common 17
MLKKF MERCATOR MINERALS LTD 5
MSEZ MEDIA SENTIMENT INC COM STK (N 8
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Consecutive Days
Ticker Security Name on List
=================================================================
NEOM NEOMEDIA TECH INC COM STK (DE) 7
NSMSF NORTHERN STAR MINING CORP 9
NWMTD NEWMARKET TECHNOLOGY INC. NEW 6
OGZPY GAZPROM;ADR REP 4 ORD RUB5 REG 3
PAGG POWERSHARES GLOBAL AGRICULTURE 6
PFEH PACIFICAP ENT HLDGS INC 2
PIVX PIVX SOLUTIONS INC 19
PSTI PLURISTEM THERAPEUTICS, INC. C 20
PYBX PLAYBOX (US) INC COM STK (NV) 1
RHIEQ RHI ENTERTAINMENT INC. COM STK 1
RIOAF RIO ALTO MNG LTD NEW COM SHS ( 18
RSERF Reservoir Cap Corp Common shar 22
SCPZF SPROTT RESOURCE CORP ORD SHS ( 25
TEXG Terax Energy, Inc. New Common 8
THLD THRESHOLD PHARMACEUTICALS INC 6
UPST UPSTREAM WORLDWIDE INC COM STK 8
VCSH VANGUARD SHT-TERM CORP BD ETF 13
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Consecutive Days
Ticker Security Name on List
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VTWG VANGUARD RUSSELL 2000 GROWTH E 1
VUNCF VUANCE LTD. ORDINARY SHARES (I 12
WHRT WORLD HEART CORPORATION COM ST 14
WMLLF WEALTH MINERALS LTD 3
WTWO W2 Energy Inc New Common Stock 3
WWAYU WESTWAY GROUP, INC. UNITS 2010 1
XLES POWERSHARES S&P SMALLCAP ENERG 37
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SOURCE: Nasdaq
To contact the reporter on this story: Daniel Petrie in Sydney at dpetrie5@bloomberg.net
To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net
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