Nasdaq ‘Threshold’ Securities for Oct. 24
By Michael J. Munoz -
2011-10-25T03:52:23Z
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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ASBB ASB BANCORP INC N C 2
ATPG ATP OIL & GAS CORPORATION 9
AUNFF AURCANA CORP 38
BGMO BERGAMO ACQUISITION CORPORATIO 8
BLIAQ BB LIQUIDATING INC CL A 8
CGXEF CGX ENERGY INC 15
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Consecutive Days
Ticker Security Name on List
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COBI COMPASS BIOTECHNOLOGIES INC CO 5
CTESY SINOTECH ENERGY LTD ADS 4
EGDFF ENERGOLD DRILLING CORP (CDA) 17
EMIS EMISPHERE TECHNOLOGIES INC 1
FLRE FLAMERET INC COM STK (NV) 15
GLTC GELTECH SOLUTIONS, INC. COMMON 3
HRBN HARBIN ELEC INC 98
HULL Hull Energy, Inc. Common Stock 5
INDY ISHARES S&P INDIA NIFTY 50 IND 9
LPTH LIGHTPATH TECHNOLOGIES INC 2
NNAN NATURALNANO INC 1
NXOI Next 1 Interactive, Inc. Commo 1
PLPE PEOPLESTRING CORPORATION COM 19
PLZLY POLYUS GOLD INTL LTD SPON GDR 44
RELM RELM HOLDINGS INC. COM 4
RXII GALENA BIOPHARMA INC COM 7
SAGE SAGEBRUSH GOLD LTD COM STK (NV 6
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Consecutive Days
Ticker Security Name on List
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SGLB SIGMA LABS, INC. COMMON STOCK 1
SPFMD HI- TECH CRIME SOLUTIONS CORP. 4
SQQQ PROSHARES ULTRAPRO SHORT QQQ 33
TNGN TENGION INC COM STK (DE) 5
TRMAQ TRICO MARINE SERVICES INC NEW 2
TZOO TRAVELZOO INC 31
VCRT VICOR TECHNOLOGIES INC NEW COM 8
VCSH VANGUARD SHT-TERM CORP BD ETF 55
VTWO VANGUARD RUSSELL 2000 ETF 1
VXUS VANGUARD STAR FD VANGUARD TOTA 5
XXII 22ND CENTURY GROUP, INC. COMMO 8
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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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