The following is a list of “threshold securities” from the New York Stock Exchange, 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 ================================================================== DGW Duoyuan Global Water Inc 45 IKR Bank of America Corp 2 JKS JinkoSolar Holding Co Ltd 38 LDK LDK Solar Co Ltd 33 LRE LRR Energy LP 2 STAGPRA STAG Industrial Inc 14 ================================================================== NOTE: For more information on threshold securities, see: http://www.sec.gov/spotlight/keyregshoissues.htm SOURCE: New York Stock Exchange
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