Nasdaq ’Threshold’ Securities for March 17
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Mar 18, 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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AFLYY AIR FRANCE-KLM ADS (EA REPTG O 4
ATTD ATTITUDE DRINKS INC NEW COM ST 44
AUNFF AURCANA CORP 18
AUTC AUTOCHINA INTERNATIONAL LIMITE 9
BDCO BLUE DOLPHIN ENERGY CO NEW COM 10
BSPM BIOSTAR PHARMACEUTICALS, INC C 3
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Consecutive Days
Ticker Security Name on List
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CABL CHINA CABLECOM HLDGS LTD ORD S 12
CADX CADENCE PHARMACEUTICALS, INC C 3
CAGC CHINA AGRITECH INC NEW COM STK 14
CCME CHINA MEDIAEXPRESS HOLDINGS IN 13
CLXM CLX MED INC NEW COM STK (US) 1
DBEXF DIA BRAS EXPL INC ORD SHS (CAN 2
DCHAF DACHA STRATEGIC METALS, INC O 11
DJSP DJSP ENTERPRISES INC (VG) 3
DNPI DECISIONPOINT SYSTEMS, INC.COM 1
EVSI ENVISION SOLAR INTL INC COM ST 2
FSSIF FISSION ENERGY CORP COM (CANAD 19
GBBFF GOLD BULLION DEVELOPMENT CORP 3
GLUU GLU MOBILE INC COM STK (DE) 4
JBAXY JULIUS BAER GROUP LTD UNSPONSO 2
LDIFF LANDDRILL INTERNATIONAL INC OR 3
MNDL NEUMEDIA INC COM STK (DE) 1
MTLQQ MOTORS LIQUIDATION CO COM STK 5
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Consecutive Days
Ticker Security Name on List
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NATUF NORTH AMER TUNGSTEN CORP LTD 2
NWMT NEWMARKET TECHNOLOGY INC. COM 39
OPELF OPEL SOLAR INTERNATIONAL, INC. 4
ORMT ORMET CORP 1
ORSCY ORASCOM CONSTR INDS S A E SPON 11
PIVX PIVX SOLUTIONS INC 58
PPERY PT BANK MANDIRI PERSERO TBK UN 9
PSPW PRIME SUN POWER INC. COMMON ST 8
QADMF QUADRA FNX MNG LTD COM SHS (CD 4
QTWW QUANTUM FUEL SYS TECHNOLOGIES 8
RHIEQ RHI ENTERTAINMENT INC. COM STK 40
ROYL ROYALE ENERGY INC 9
RSERF Reservoir Cap Corp Common shar 1
SCPZF SPROTT RESOURCE CORP ORD SHS ( 64
SMNPF SCORPIO MINING CORP 10
SOHAF SOUTH AMERN SILVER CORP COMMON 6
SOMX SOMAXON PHARMACEUTICALS INC 13
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Consecutive Days
Ticker Security Name on List
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VCIT VANGUARD INTERMEDIATE-TERM COR 6
VCSH VANGUARD SHT-TERM CORP BD ETF 52
VLOV VLOV Inc. Common Stock 3
WOOD ISHARES S&P GLOBAL TIMBER & FO 4
XLKS POWERSHARES S&P SMALLCAP INFOR 6
YRCW YRC WORLDWIDE INC 14
ZAOFF ZAIO CORP 18
ZIOP ZIOPHARM ONCOLOGY, INC. 6
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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