Nasdaq ‘Threshold’ Securities for Oct. 27
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Oct 27, 2011
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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ASBB ASB BANCORP INC N C 5
ATPG ATP OIL & GAS CORPORATION 12
AUNFF AURCANA CORP 41
CEHD CHINA ELECTRONICS HOLDINGS, IN 2
COBI COMPASS BIOTECHNOLOGIES INC CO 8
CTESY SINOTECH ENERGY LTD ADS 7
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Consecutive Days
Ticker Security Name on List
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EMIS EMISPHERE TECHNOLOGIES INC 4
FLRE FLAMERET INC COM STK (NV) 18
GLTC GELTECH SOLUTIONS, INC. COMMON 6
HRBN HARBIN ELEC INC 101
HULL Hull Energy, Inc. Common Stock 8
INDY ISHARES S&P INDIA NIFTY 50 IND 12
LBAS Location Based Technologies, I 3
LPTH LIGHTPATH TECHNOLOGIES INC 5
NNAN NATURALNANO INC 4
NXOI Next 1 Interactive, Inc. Commo 4
PLPE PEOPLESTRING CORPORATION COM 22
PLZLY POLYUS GOLD INTL LTD SPON GDR 47
QING QINGDAO FOOTWEAR INC COM STK ( 3
SAGE SAGEBRUSH GOLD LTD COM STK (NV 9
SGLB SIGMA LABS, INC. COMMON STOCK 4
SQQQ PROSHARES ULTRAPRO SHORT QQQ 36
TNGN TENGION INC COM STK (DE) 8
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Consecutive Days
Ticker Security Name on List
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TRMAQ TRICO MARINE SERVICES INC NEW 5
TZOO TRAVELZOO INC 34
VCRT VICOR TECHNOLOGIES INC NEW COM 11
VONE VANGUARD RUSSELL 1000 ETF 1
VTWO VANGUARD RUSSELL 2000 ETF 4
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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