Nasdaq ‘Threshold’ Securities for Oct. 4
By Daniel Petrie -
2011-10-05T04:51:19Z
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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ARREF AMERIGO RESOURCES LTD 1
ATTD ATTITUDE DRINKS INC NEW COM ST 26
AUNFF AURCANA CORP 24
BICK FIRST TRUST ISE BICK INDEX FUN 1
BLOAQ BLOCKBUSTER INC CL-A 121
CTE SINOTECH ENERGY LTD ADS 25
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Consecutive Days
Ticker Security Name on List
=================================================================
EMBA EMAMBA INTERNATIONAL CORP. COM 1
FCHI ISHARES FTSE CHINA (HK LISTED) 1
GAPTQ GREAT ATLANTIC & PAC TEA 1
HRBN HARBIN ELEC INC 84
LOCM LOCAL.COM CORP COM STK 1
LRLCY L’OREAL CO ADR 1
LUKOY LUKOIL OIL COMPANY;SPON ADR RE 1
MEMI MIRACLE ENTERTAINMENT INC 35
MMTC MICRO IMAGING TECHNOLOGY, INC. 1
PLZLY POLYUS GOLD INTL LTD SPON GDR 30
QTWW QUANTUM FUEL SYS TECHNOLOGIES 1
RELM RELM HOLDINGS INC. COM 1
RVUE RVUE HLDGS INC COM STK (NV) 20
SAPX SEVEN ARTS ENTMT INC COM (NV) 16
SGAPY Singapore Telecommunications L 1
SMXI SEBRING SOFTWARE, INC. COMMON 13
SNOFF SINA-FOREST CORP SUB VTG(F) 1
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Consecutive Days
Ticker Security Name on List
=================================================================
SNWTE SAN WEST, INC. COMMON STOCK (C 1
SQQQ PROSHARES ULTRAPRO SHORT QQQ 19
TRMAQ TRICO MARINE SERVICES INC NEW 32
TZOO TRAVELZOO INC 17
VCIT VANGUARD INTERMEDIATE-TERM COR 1
VCRT VICOR TECHNOLOGIES INC NEW COM 1
VCSH VANGUARD SHT-TERM CORP BD ETF 41
VGIT VANGUARD INTERMEDIATE-TERM GOV 2
VGLT VANGUARD LG-TRM GOVT BD ETF 1
VGSH VANGUARD SHT-TRM GOVT BD ETF 36
VITFF Victoria Gold Corp Ordinary Sh 1
VSUL Visualant, Incorporated Common 1
VXUS VANGUARD STAR FD VANGUARD TOTA 39
YRCW YRC WORLDWIDE INC 65
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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: 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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