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Nasdaq ‘Threshold’ Securities for Aug. 31
By Michael J. Munoz -
2011-09-01T03:06:03Z
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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ATPG ATP OIL & GAS CORPORATION 2
ATRN ATRINSIC, INC COM STK 13
ATTD ATTITUDE DRINKS INC NEW COM ST 3
AUNFF AURCANA CORP 1
BLOAQ BLOCKBUSTER INC CL-A 98
CTCC CITY CAPITAL CORPORATION 10
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Consecutive Days
Ticker Security Name on List
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CTE SINOTECH ENERGY LTD ADS 2
DBTB Debut Broadcasting Corporation 8
ESLRQ EVERGREEN SOLAR INC 7
EXTO EXIT ONLY INC 15
FBEC FRONTIER BEVERAGE COMPANY, INC 1
FLTT FLINT TELECOM GROUP, INC. COM 1
GAPTQ GREAT ATLANTIC & PAC TEA 4
GURE GULF RESOURCES, INC. NEWCOMMON 6
HRBN HARBIN ELEC INC 61
LLEN L & L ENERGY INC COM STK (NV) 2
MEMI MIRACLE ENTERTAINMENT INC 12
MGDDY Michelin Compagnie Generale de 4
MOBI SKY -MOBI LIMITED ADS 13
MOTR MOTRICITY INC COM STK (DE) 9
MSHL MARSHALL EDWARDS INC COM STK ( 5
PLZLY POLYUS GOLD INTL LTD SPON GDR 7
PRPM PROTEK CAPITAL, INC. COMMON S 1
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Consecutive Days
Ticker Security Name on List
=================================================================
PSCM POWERSHARES S&P SMALLCAP MATER 4
PUDA PUDA COAL INC (DE) 3
QTWW QUANTUM FUEL SYS TECHNOLOGIES 8
RELM RELM HOLDINGS INC. COM 3
ROYL ROYALE ENERGY INC 11
RXAC RESOURCE EXCHANGE AMER CORP CO 10
SBGSY Schneider Electric Sa Unsponso 9
SMDZF STRATEGIC METALS LTD COM NEW ( 3
SNOFF SINA-FOREST CORP SUB VTG(F) 26
SNWTE SAN WEST, INC. COMMON STOCK (C 1
SOXX ISHARES PHLX SOX SEMICONDUCTOR 4
STXS STEREOTAXIS, INC 1
TISA TOP IMAGE SYS LTD 7
TNTEY TNT EXPRESS N V ADR (NLD) 5
TQQQ PROSHARES ULTRAPRO QQQ 20
TRMAQ TRICO MARINE SERVICES INC NEW 9
TUDO TUDOU HLDGS LTD SPON ADR (CYM) 2
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Consecutive Days
Ticker Security Name on List
=================================================================
UIBT UNIVERSAL ICE BLAST INC NEW 19
VCIT VANGUARD INTERMEDIATE-TERM COR 16
VCRT VICOR TECHNOLOGIES INC NEW COM 7
VCSH VANGUARD SHT-TERM CORP BD ETF 18
VGSH VANGUARD SHT-TRM GOVT BD ETF 13
VXUS VANGUARD STAR FD VANGUARD TOTA 16
WTKWY WOLTERS KLUWER NV SPONS ADR 8
YRCW YRC WORLDWIDE INC 42
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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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