Nasdaq ‘Threshold’ Securities for Oct. 11
By Michael J. Munoz -
2011-10-12T07:44:34Z
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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AUNFF AURCANA CORP 29
BIOD BIODEL INC COM STK (DE) 10
BLOAQ BLOCKBUSTER INC CL-A 126
CGXEF CGX ENERGY INC 6
CMZPF COMPTON PETE CORP ORD SHS (CDA 3
CTE SINOTECH ENERGY LTD ADS 30
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Consecutive Days
Ticker Security Name on List
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CYPW CYCLONE POWER TECHNOLOGIES INC 6
EGDFF ENERGOLD DRILLING CORP (CDA) 8
FLRE FLAMERET INC COM STK (NV) 6
HRBN HARBIN ELEC INC 89
ISIM INSIGHT MANAGEMENT CORP COM S 3
ISMAY Indra Sistemas Sa Fgn Ord Unsp 3
JVA COFFEE HOLDING CO., INC. 10
MEMI MIRACLE ENTERTAINMENT INC 40
MOAEY MONGOLIA ENERGY CORPORATION LT 5
MRVNY Mrv Engenharia e Participacoes 3
MWWC MARKETING WORLDWIDE CORPORATIO 5
PLPE PEOPLESTRING CORPORATION COM 10
PLZLY POLYUS GOLD INTL LTD SPON GDR 35
SAPX SEVEN ARTS ENTMT INC COM (NV) 21
SBGSY Schneider Electric Sa Unsponso 11
SMXI SEBRING SOFTWARE, INC. COMMON 18
SQQQ PROSHARES ULTRAPRO SHORT QQQ 24
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Consecutive Days
Ticker Security Name on List
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TMKXY TMK OAO SPONSORED ADR (RU) 3
TZOO TRAVELZOO INC 22
VCSH VANGUARD SHT-TERM CORP BD ETF 46
VGIT VANGUARD INTERMEDIATE-TERM GOV 7
WIXFF Winstar Resources Ltd New Comm 5
YRCW YRC WORLDWIDE INC 70
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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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