Nasdaq ‘Threshold’ Securities for Oct. 21

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.

=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
ASBB    ASB BANCORP INC N C                                    1
ATPG    ATP OIL & GAS CORPORATION                              8
AUNFF   AURCANA CORP                                          37
BGMO    BERGAMO ACQUISITION CORPORATIO                         7
BLIAQ   BB LIQUIDATING INC CL A                                7
CGXEF   CGX ENERGY INC                                        14
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
COBI    COMPASS BIOTECHNOLOGIES INC CO                         4
CTESY   SINOTECH ENERGY LTD ADS                                3
EGDFF   ENERGOLD DRILLING CORP (CDA)                          16
FLRE    FLAMERET INC  COM STK (NV)                            14
GLTC    GELTECH SOLUTIONS, INC. COMMON                         2
HRBN    HARBIN ELEC INC                                       97
HULL    Hull Energy, Inc. Common Stock                         4
INDY    ISHARES S&P INDIA NIFTY 50 IND                         8
LPTH    LIGHTPATH TECHNOLOGIES INC                             1
PLPE    PEOPLESTRING CORPORATION COM                          18
PLZLY   POLYUS GOLD INTL LTD SPON GDR                         43
RELM    RELM HOLDINGS INC. COM                                 3
RXII    GALENA BIOPHARMA INC COM                               6
SAGE    SAGEBRUSH GOLD LTD COM STK (NV                         5
SPFMD   HI- TECH CRIME SOLUTIONS CORP.                         3
SQQQ    PROSHARES ULTRAPRO SHORT QQQ                          32
TNGN    TENGION INC COM STK (DE)                               4
=================================================================
                                                Consecutive Days
Ticker  Security Name                                    on List
=================================================================
TRMAQ   TRICO MARINE SERVICES INC NEW                          1
TZOO    TRAVELZOO INC                                         30
VCRT    VICOR TECHNOLOGIES INC NEW COM                         7
VCSH    VANGUARD SHT-TERM CORP BD ETF                         54
VXUS    VANGUARD STAR FD VANGUARD TOTA                         4
XXII    22ND CENTURY GROUP, INC. COMMO                         7
YRCW    YRC WORLDWIDE INC                                     78
=================================================================
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

Bloomberg reserves the right to edit or remove comments but is under no obligation to do so, or to explain individual moderation decisions.

Please enable JavaScript to view the comments powered by Disqus.