Nasdaq ‘Threshold’ Securities for Jan. 30
By Michael J. Munoz -
2012-01-31T05:05:00Z
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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ADOOY ADARO ENERGY PT UNSPON ADR (ID 1
ANYI ANYTHINGIT INC COMMON STOCK 2
AXPW AXION POWER INTERNATIONAL INC 26
BIB PROSHARES TRUST - PROSHARES UL 2
BIS PROSHARES TRUST-PROSHARES ULTR 6
BPAX BIOSANTE PHARMACEUTICALS INC 3
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Consecutive Days
Ticker Security Name on List
=================================================================
BVSN BroadVision, Inc. New Common S 8
CIBEY COMMERCIAL INTERNATIONAL BK LT 8
CICHY China Construction Bank Corpor 2
CIDM CINEDIGM DIGITAL CINEMA CORP., 1
CLWT EURO TECH HOLDINGS CO LTD NEW 3
CPWE CLEAN POWER TECHNOLOGIES INC. 18
DCAQP DRA CRT ACQUISITION CORP PFD S 9
ECOC ECOLOGY COATINGS INC COM STK 2
EGDFF ENERGOLD DRILLING CORP (CDA) 35
ENER ENERGY CONVERSION DEVICES INC 5
ENSL ENTECH SOLAR INC COM STK (DE) 18
GBRRF GABRIEL RESOURCES LTD 8
IBB ISHARES NASDAQ BIOTECHNOLOGY I 3
MNKD MANNKIND CORP 5
ONTCD ONTECO CORPORATION. (NEW) COMM 7
OSRS Osiris Corporation Common Stoc 16
PLZLY POLYUS GOLD INTL LTD SPON GDR 8
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Consecutive Days
Ticker Security Name on List
=================================================================
PPHYL PHARMACTL HLDR TST DP REC12/40 11
RTHYL RETAIL HOLDRS TRUST (HOLDRS) 1 1
SCGLY SOCIETE GENERALE FRANCE SP ADR 1
SKHSY SEKISUI HOUSE LTD SPONS ADR 3
SOEN Solar Enertech Corp. Common St 18
SQQQ PROSHARES ULTRAPRO SHORT QQQ 12
STEV STEVIA CORP COM STK (NV) 15
UAMY U S ANTIMONY CORP 3
VCLT VANGUARD LG-TRM CORP BD ETF 7
VCSH VANGUARD SHT-TERM CORP BD ETF 19
VELA VELATEL GLOBAL COMMUNICATIONS, 6
VRML VERMILLION INC (DE) 18
VTWG VANGUARD RUSSELL 2000 GROWTH E 5
WEIN WEST END INDIANA BANCSHARES IN 6
XBOR CROSS BORDER RESOURCES, INC. C 1
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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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