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Nasdaq Regulation SHO Short Sale Threshold List August 2017

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Date processed on 08/17/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ALTY) GLOBAL X FDS SUPERDIVIDEND ALT G Y N
(ARGS) ARGOS THERAPEUTICS INC COM G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(CLSN) CELSION CORP COM PAR NEW S Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G 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
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(ETRM) ENTEROMEDICS INC COM PAR $.01 S Y N
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HTGM) HTG MOLECULAR DIAGNOSTICS INC S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MICT) MICRONET ENERTEC TECHNOLOGIES, S Y N

Date processed on 08/17/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(MICTW) MICRONET ENERTEC TECHNOLOGIES S Y N
(MYNDW) MYND ANALYTICS INC WT EXP S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TCCO) TECHNICAL COMMUNICATIONS CRP S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(VGSH) VANGUARD SHT-TRM GOVT BD ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 08/18/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ALTY) GLOBAL X FDS SUPERDIVIDEND ALT G Y N
(ARGS) ARGOS THERAPEUTICS INC COM G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G 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
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(ETRM) ENTEROMEDICS INC COM PAR $.01 S Y N
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HTGM) HTG MOLECULAR DIAGNOSTICS INC S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MICT) MICRONET ENERTEC TECHNOLOGIES, S Y N
(MICTW) MICRONET ENERTEC TECHNOLOGIES S Y N

Date processed on 08/18/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(MYNDW) MYND ANALYTICS INC WT EXP S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TCCO) TECHNICAL COMMUNICATIONS CRP S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N
(VGLT) VANGUARD LG-TRM GOVT BD ETF G Y N
(XGTI) XG TECHNOLOGY INC COM PAR $.00 S Y N

Date processed on 08/21/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AEZS) AETERNA ZENTARIS INC COM STK ( S Y N
(AKER) AKERS BIOSCIENCES INC COMMON S Y N
(ARGS) ARGOS THERAPEUTICS INC COM G Y N
(CLRB) CELLECTAR BIOSCIENCES INC COM S Y N
(CSA) VICTORY PORTFOLIOS II SHS US S G Y N
(CSML) INDEXIQ ETF TR CHAIKIN US SMAL G Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S Y N
(DCIX) DIANA CONTAINERSHIPS INC SHS P Q Y N
(DGLT) DIGILITI MONEY GROUP INC COM S S Y N
(DRYS) DRYSHIPS INC COM PAR NEW (MHL) S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DXTR) DEXTERA SURGICAL INC COM S Y N
(ESGD) ISHARES TR MSCI EAFE ESG OPTIM G Y N
(ETRM) ENTEROMEDICS INC COM PAR $.01 S Y N
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HTGM) HTG MOLECULAR DIAGNOSTICS INC S Y N
(IMNP) IMMUNE PHARMACEUTICALS INC COM S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MICTW) MICRONET ENERTEC TECHNOLOGIES S Y N

Date processed on 08/21/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(MYNDW) MYND ANALYTICS INC WT EXP S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(OHGI) ONE HORIZON GROUP, INC. COMMON S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(SKLN) SKYLINE MEDICAL INC. COM PAR $ S Y N
(TCCO) TECHNICAL COMMUNICATIONS CRP S Y N
(TOPS) TOP SHIPS INC SHS NEW JULY 201 S Y N
(TTPH) TETRAPHASE PHARMACEUTICALS INC Q Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N
(USLV) VELOCITYSHS 3X LG SILVER ETN L G Y N

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