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Nasdaq Regulation SHO Short Sale Threshold List August 2017

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Date processed on 08/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(BVXV) BIONDVAX PHARMACEUTICALS LTD. S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DWFI) SPDR SER TR DORSEY WRIGHT FIXE G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(FCA) FIRST TRUST CHINA ALPHADEX FUN G Y N
(FEM) FIRST TRUST EMERGING MARKETS A G Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(OSPRU) OSPREY ENERGY ACQUISITION CORP S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(QBAK) QUALSTAR CORP COM NEW S Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N

Date processed on 08/04/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(ZN) ZION OIL & GAS INC COM G Y N

Date processed on 08/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DWFI) SPDR SER TR DORSEY WRIGHT FIXE G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(FCA) FIRST TRUST CHINA ALPHADEX FUN G Y N
(FEM) FIRST TRUST EMERGING MARKETS A G Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(OSPRU) OSPREY ENERGY ACQUISITION CORP S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N

Date processed on 08/07/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

Date processed on 08/08/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(CAPR) CAPRICOR THERAPEUTICS, INC. CO S Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DWFI) SPDR SER TR DORSEY WRIGHT FIXE G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(FCA) FIRST TRUST CHINA ALPHADEX FUN G Y N
(FEM) FIRST TRUST EMERGING MARKETS A G Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBOT) MICROBOT MED INC COM (ISR) S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MBVX) MABVAX THERAPEUTICS HOLDINGS, S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(OSPRU) OSPREY ENERGY ACQUISITION CORP S Y N
(PGJ) POWERSHARES GOLDEN DRAGON CHI G Y N
(SITO) SITO MOBILE LTD COM NEW S Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N

Date processed on 08/08/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N
(YLCO) GLOBAL X FDS YIELDCO INDEX ETF G Y N

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