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Nasdaq Regulation SHO Short Sale Threshold List August 2017

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Date processed on 08/22/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(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
(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
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(MYNDW) MYND ANALYTICS INC WT EXP S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW S Y N
(TCCO) TECHNICAL COMMUNICATIONS CRP S Y N

Date processed on 08/22/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(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

Date processed on 08/23/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(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
(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
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HTGM) HTG MOLECULAR DIAGNOSTICS INC S Y N
(KTOV) KITOV PHARMACEUTICALS HLDGS LT S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW 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

Date processed on 08/23/2017

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

Tickers: (TVIX), (USLV)

Date processed on 08/24/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ARGS) ARGOS THERAPEUTICS INC COM G Y N
(CSA) VICTORY PORTFOLIOS II SHS US S G Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S 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
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(RFAP) FIRST TRUST ETF III RIVERFRONT G Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW 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

Date processed on 08/25/2017

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ACIA) ACACIA COMMUNICATIONS INC COM Q Y N
(CSA) VICTORY PORTFOLIOS II SHS US S G Y N
(CYCC) CYCLACEL PHARMACEUTICALS INC C S 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
(FPXI) FIRST TR ETF II INTL IPO ETF ( G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MBRX) MOLECULIN BIOTECH INC COM S Y N
(NXTD) NXT-ID INC COM NEW S Y N
(RTNB) ROOT9B HOLDINGS INC COM NEW 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

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