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NYSE Regulation SHO Short Sale Threshold List February 2018

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NYSE Regulation SHO Short Sale Threshold List February 2018

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http://www.nyse.com/regulation/nyse/Threshold_Securities.shtml

Threshold Securities - NYSE

A Threshold Security is defined by Rule 203(c)(6) of the SEC's Regulation SHO as any equity security of an issuer that is registered under Section 12, or that is required to file reports pursuant to Section 15(d) of the Exchange Act where for five consecutive settlement days: (1) there are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security; (2) the level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding; and (3) the security is included on a list published by a self regulatory organization.

Reg SHO is designed to fulfill several objectives, including: (a) the establishment of uniform locate and delivery requirements in order to address problems associated with failures to deliver, and (b) the creation of uniform marking requirements for sales of all equity securities.

Accordingly, NYSE will post a list of threshold securities on this site for every settlement day.

Note: the Threshold List will not be generated on bank holidays when the Depository Trust & Clearing Corporation is closed but equity exchanges are open.

Date processed on 02/01/2018

Symbol Security Name
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(FXE) CurrencyShares Euro Trust
(FXY) CurrencyShares Japanese Yen Trust
(GIGWS) GigCapital, Inc.
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(IYR) iShares Dow Jones US Real Estate Index Fund
(KODK) Eastman Kodak Company
(KODKWS)A Eastman Kodak Company
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(MJX) ETFMG Alternative Harvest ETF
(OGEN) Oragenics Inc.
(OILD) ProShares UltraPro 3x Short Crud
(RUSS) Direxion Daily Russia Bear 3x Shares
(SCO) ProShares UltraShort Blrg CrdOil
(SDOW) ProShares UltraPro Short Dow30

Date processed on 02/01/2018

Symbol Security Name
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(SPTS) SPDR Portfolio Short Term Treasu
(SRS) ProShares UltraShort Real Estate
(TIPX) SPDR 1-10 Year TIPS ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 02/02/2018

Symbol Security Name
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(FXE) CurrencyShares Euro Trust
(FXY) CurrencyShares Japanese Yen Trust
(GIGWS) GigCapital, Inc.
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(IYR) iShares Dow Jones US Real Estate Index Fund
(KMG) KMG Chemicals Inc
(KODK) Eastman Kodak Company
(KODKWS)A Eastman Kodak Company
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(MJX) ETFMG Alternative Harvest ETF
(OGEN) Oragenics Inc.
(OILD) ProShares UltraPro 3x Short Crud
(RUSS) Direxion Daily Russia Bear 3x Shares
(SDOW) ProShares UltraPro Short Dow30

Date processed on 02/02/2018

Symbol Security Name
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(SPTS) SPDR Portfolio Short Term Treasu
(SRS) ProShares UltraShort Real Estate
(TIPX) SPDR 1-10 Year TIPS ETF
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(XME) SPDR S&P Metals & Mining ETF
(YANG) Direxion Daily China 3X Bear Shares

Date processed on 02/05/2018

Symbol Security Name
(DOG) ProShares Short Dow30
(DRIP) Direxion Daily S&P Oil & Gas Exp. & Prod. Bear 3X Shares
(DWT) VelocityShares 3x Inverse Crude
(ERY) Direxion Daily Energy Bear 3X Shares
(EURL) Direxion Daily FTSE Europe Bull 3x Shares
(FXE) CurrencyShares Euro Trust
(FXY) CurrencyShares Japanese Yen Trust
(GIGWS) GigCapital, Inc.
(HYG) iShares iBoxx $ High Yield Corporate Bond ETF
(IYR) iShares Dow Jones US Real Estate Index Fund
(JDST) Direxion Daily Junior Gold Miners Index Bear 3X Shares
(KMG) KMG Chemicals Inc
(KODK) Eastman Kodak Company
(LABD) Direxion Daily S&P Biotech Bear 3X Shares
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(MJX) ETFMG Alternative Harvest ETF
(OGEN) Oragenics Inc.
(OILD) ProShares UltraPro 3x Short Crud
(RUSS) Direxion Daily Russia Bear 3x Shares
(SDOW) ProShares UltraPro Short Dow30

Date processed on 02/05/2018

Symbol Security Name
(SOXS) Direxion Daily Semiconductors Bear 3x Shares
(SPTS) SPDR Portfolio Short Term Treasu
(SRS) ProShares UltraShort Real Estate
(TMF) Direxion Daily 20 Year Plus Treasury Bull 3x Shares
(TWM) ProShares UltraShort Russell2000
(UNG) United States Natural Gas Fund,
(URTY) ProShares UltraPro Russell2000
(UVXY) ProShares Ultra VIX Short-Term F
(UWT) VelocityShares3x Long Crude Oil
(XME) SPDR S&P Metals & Mining ETF
(XSOE) Wisdomtree Emerging Markets EX-State-Owned Enterprises Fund
(YANG) Direxion Daily China 3X Bear Shares

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