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NYSE ‘Threshold’ Securities for Oct. 6

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                                  8
EK     Eastman Kodak Co                                          2
HRZ    Horizon Lines Inc                                        16
JKS    JinkoSolar Holding Co Ltd                                 1
UTA    Universal Travel Group                                   27
NOTE: For more information on threshold securities, see:

SOURCE: New York Stock Exchange

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