Nasdaq ‘Threshold’ Securities for Sept. 30
By Michael J. Munoz -
2011-10-03T08:45:57Z
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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ATTD ATTITUDE DRINKS INC NEW COM ST 24
AUNFF AURCANA CORP 22
BIOD BIODEL INC COM STK (DE) 3
BLOAQ BLOCKBUSTER INC CL-A 119
BSKSD BLUESKY SYS HLDGS INC COM NEW 5
CRGC CONTINENTAL RESOURCES GROUP, I 4
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Consecutive Days
Ticker Security Name on List
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CSRE CSR PLC SPON ADR (UK) 6
CTE SINOTECH ENERGY LTD ADS 23
DPSGY DEUTSCHE POST AG SPONSORED ADR 6
EGDFF ENERGOLD DRILLING CORP (CDA) 1
HRBN HARBIN ELEC INC 82
JVA COFFEE HOLDING CO., INC. 3
LGCUF LUNA GOLD CORP 2
MEMI MIRACLE ENTERTAINMENT INC 33
MVIS MICROVISION INC (WASH) 4
PBSK POAGE BANKSHARES INC COM 7
PLPE PEOPLESTRING CORPORATION COM 3
PLZLY POLYUS GOLD INTL LTD SPON GDR 28
RVUE RVUE HLDGS INC COM STK (NV) 18
SAPX SEVEN ARTS ENTMT INC COM (NV) 14
SBGSY Schneider Electric Sa Unsponso 4
SMXI SEBRING SOFTWARE, INC. COMMON 11
SQQQ PROSHARES ULTRAPRO SHORT QQQ 17
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Consecutive Days
Ticker Security Name on List
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TRMAQ TRICO MARINE SERVICES INC NEW 30
TZOO TRAVELZOO INC 15
VCSH VANGUARD SHT-TERM CORP BD ETF 39
VGSH VANGUARD SHT-TRM GOVT BD ETF 34
VXUS VANGUARD STAR FD VANGUARD TOTA 37
YRCW YRC WORLDWIDE INC 63
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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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