Nasdaq ’Threshold’ Securities for May 13
By Michael J. Munoz -
2011-05-16T06:24:46Z
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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ALQA ALLIQUA, INC. COMMON STOCK 7
ARREF AMERIGO RESOURCES LTD 4
ARZTY ARYZTA AG, ZUERICH UNSPONSORED 4
ATADF ATAC RESOURCES LTD (CDA) 7
AUNFF AURCANA CORP 58
AXPW AXION POWER INTERNATIONAL INC 9
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Consecutive Days
Ticker Security Name on List
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BIB PROSHARES TRUST - PROSHARES UL 7
BLOAQ BLOCKBUSTER INC CL-A 22
CABL CHINA CABLECOM HLDGS LTD ORD S 5
CAGC CHINA AGRITECH INC NEW COM STK 54
CCME CHINA MEDIAEXPRESS HOLDINGS IN 53
COWI CoroWare, Inc. New Common Stoc 9
CYRX CRYOPORT INC NEW COMMON STOCK 4
DEER DEER CONSUMER PRODUCTS, INC. N 40
DQJCY Don Quijote Co Ltd Unsponsored 3
GENE GENETIC TECHS LTD 6
GGCRF SILVERMEX RESOURCES, INC. ORDI 22
GLRP GLEN ROSE PETROLEUM CORP COM S 3
IBB ISHARES NASDAQ BIOTECHNOLOGY I 1
KWICW KENNEDY-WILSON HOLDINGS, INC. 7
LEXG LITHIUM EXPLORATION GROUP, INC 16
LFVN Lifevantage Corporation Common 2
LJPC LA JOLLA PHARMACEUTICAL CO NEW 1
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Consecutive Days
Ticker Security Name on List
=================================================================
LLEN L & L ENERGY INC COM STK (NV) 14
LSGGF LAKE SHORE GOLD CORP 6
LTUM LITHIUM CORPORATION. COMMON ST 4
MDHI MEDICAL ALARM CONCEPTS HLDG IN 5
NEGS NX GLOBAL, INC. COMMON STOCK 13
NUSMF Nautilus Minerals Inc Ordinary 14
NWMT NEWMARKET TECHNOLOGY INC. COM 79
OPELF OPEL SOLAR INTERNATIONAL, INC. 11
OPMG OPTIONS MEDIA GROUP HOLDINGS, 25
PACQU PRIME ACQUISITION CORP UTS CON 7
PRGJ PRG Group, Inc. Common Stock 11
PSCH POWERSHARES S&P SMALLCAP HEALT 3
PYBX PLAYBOX (US) INC COM STK (NV) 1
RSHYY RUSHYDRO JSC SPONSORED ADR (RU 36
SAVW SAVWATT USA, INC. COMMON STOCK 13
SCEI SINO CLEAN ENERGY INC COM STK 9
SCOK SINOCOKING COAL & COKE CHEMICA 3
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Consecutive Days
Ticker Security Name on List
=================================================================
SCPZF SPROTT RESOURCE CORP ORD SHS ( 104
SFIN SAFETEK INTL INC COM STK (USA) 1
SMDZF STRATEGIC METALS LTD 14
SRGZ STAR GOLD CORP. NEW COMMON STO 4
TBTEF Twin Butte Energy Ltd Ordinary 4
THTCF THERATECHNOLOGIES INC SVC 2
TKECY Tokyo Electric Power Co Inc Un 5
TNCGF TIO Networks Corp Ordinary Sha 6
USAT USA Technologies, Inc. New Com 4
VCIT VANGUARD INTERMEDIATE-TERM COR 10
VCLT VANGUARD LG-TRM CORP BD ETF 1
YONG YONGYE INTERNATIONAL, INC. COM 22
YRCW YRC WORLDWIDE INC 17
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NOTE: For more information on threshold securities, see:
http://www.sec.gov/spotlight/keyregshoissues.htm
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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