Nasdaq ‘Threshold’ Securities for Feb. 6
By Michael J. Munoz -
2012-02-07T05:28:59Z
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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AAMRQ AMR CORP 5
ADOOY ADARO ENERGY PT UNSPON ADR (ID 6
ANYI ANYTHINGIT INC COMMON STOCK 7
AUNFF AURCANA CORP 2
AXPW AXION POWER INTERNATIONAL INC 31
BGMO BERGAMO ACQUISITION CORPORATIO 1
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Consecutive Days
Ticker Security Name on List
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BVSN BroadVision, Inc. New Common S 13
CBHMY COBHAM PLC ORD UNSPONSORED ADR 1
CIBEY COMMERCIAL INTERNATIONAL BK LT 13
DGWIY DUOYUAN GLOBAL WTR INC SPONSOR 3
ECOC ECOLOGY COATINGS INC COM STK 7
EGDFF ENERGOLD DRILLING CORP (CDA) 40
ENER ENERGY CONVERSION DEVICES INC 10
GDFLY Goodman Fielder Ltd Unsponsore 2
JVA COFFEE HOLDING CO., INC. 1
MNKD MANNKIND CORP 10
ORSCY ORASCOM CONSTR INDS S A E SPON 4
OSRS Osiris Corporation Common Stoc 21
PLLVF PALLADON VENTURES LTD ORDINARY 2
PLZLY POLYUS GOLD INTL LTD SPON GDR 13
RIOAF RIO ALTO MNG LTD NEW COM SHS ( 5
ROSG ROSETTA GENOMICS LTD ORD SHS 2
RTHYL RETAIL HOLDRS TRUST (HOLDRS) 1 6
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Consecutive Days
Ticker Security Name on List
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SCGLY SOCIETE GENERALE FRANCE SP ADR 6
SQQQ PROSHARES ULTRAPRO SHORT QQQ 17
UAMY U S ANTIMONY CORP 8
VCLT VANGUARD LG-TRM CORP BD ETF 12
VCSH VANGUARD SHT-TERM CORP BD ETF 24
VELA VELATEL GLOBAL COMMUNICATIONS, 11
VGIT VANGUARD INTERMEDIATE-TERM GOV 4
VTWG VANGUARD RUSSELL 2000 GROWTH E 10
XBOR CROSS BORDER RESOURCES, INC. C 6
ZONMY Zon Multimedia Sponsored ADR ( 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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