Nasdaq ’Threshold’ Securities for Oct. 5
By -
Oct 5, 2010
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.
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
ABWTQ ABITIBIBOWATER, INC. 10
ADPAA ADELPHIA RECOVERY TRUST OTHER 1
AVARF Avalon Rare Metals, Inc. Ordin 2
BANID BANNEKER INC. NEW COMMON STOC 8
BGMO BERGAMO ACQUISITION CORPORATIO 2
BLOAQ BLOCKBUSTER INC CL-A 6
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
CCME CHINA MEDIAEXPRESS HOLDINGS IN 7
CHNG China Natural Gas, Inc. New Co 5
CLRH CLEAR-LITE HOLDINGS, INC COMMO 1
CSWI COMPUTER SOFTWARE INNOVATIONS, 2
CU FIRST TRUST ISE GLOBAL COPPER 12
CYRX CRYOPORT INC NEW COMMON STOCK 9
FNMA FANNIE MAE 7
GBBFF GOLD BULLION DEVELOPMENT CORP 12
GXEXF GEOLOGIX EXPLORATIONS INC (CAN 7
HLXW Helix Wind, Corp. Common Stock 55
KSKTF KISKA METALS CORP ORD SHS (CDA 2
LGORF LARGO RESOURCES LTD 5
MDHI MEDICAL ALARM CONCEPTS HLDG IN 14
ORNID ORAGENICS INC 3
OSIIF OSI Geospatial Inc. Ordinary S 13
OXIS OXIS INTERNATIONAL INC-NEW 3
PCBC PACIFIC CAPITAL BANCORP NEW 35
=================================================================
Consecutive Days
Ticker Security Name on List
=================================================================
PKOL POWERSHARES GLOBAL COAL PORTFO 3
PLLVF PALLADON VENTURES LTD 4
QADMF QUADRA FNX MNG LTD COM SHS (CD 7
RFIL RF INDUSTRIES LTD 5
SCPZF SPROTT RESOURCE CORP ORD SHS ( 7
SFOR Strikeforce Technologies, Inc. 8
SIDNF SIDON INTL RESOURCES CORP(F) 3
SQQQ PROSHARES ULTRAPRO SHORT QQQ 73
STVZF SILVERCREST MINES INC 10
SWKH SWK HOLDINGS CORPORATION. COMM 16
SXRZF URANIUM ONE INC ORD SHS (CANAD 19
THMRQ THORNBURG MTG INC COM NEW (MD) 11
TRXOF Terrane Metals Corp. Ordinary 10
VCIT VANGUARD INTERMEDIATE-TERM COR 7
VCSH VANGUARD SHT-TERM CORP BD ETF 5
WNWG WENTWORTH ENERGY INC NEW 8
YNGFF YUKON-NEVADA GOLD CORP 29
=================================================================
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