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Nasdaq Regulation SHO Short Sale Threshold List May 2018

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Nasdaq Regulation SHO Short Sale Threshold List May 2018

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There are several ways to view the REG SHO list. One way is to consider the stocks as possible short squeezes. The other school of thought is a lot of smart money is better on the price moving lower.

REG SHO Overview

As defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:

  • There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
  • The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and
  • The security is included on a list published by a self-regulatory organization (SRO).

A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.

Note: The list below contains securities from OTCBB, Other OTC and NASDAQ markets. The totals below reflects the number of securities from each marketplace that are included in the list. Please review the "Market Category" field for the specific listing market for each security.

Date processed on 05/01/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EYEG) EYEGATE PHARMACEUTICALS INC CO S Y N
(FEUZ) FIRST TR EUROZONE ALPHADEX ETF G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SMSI) SMITH MICRO SOFTWARE INC COM N S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VLRX) VALERITAS HLDGS INC S Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

Date processed on 05/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EYEG) EYEGATE PHARMACEUTICALS INC CO S Y N
(FEUZ) FIRST TR EUROZONE ALPHADEX ETF G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SMSI) SMITH MICRO SOFTWARE INC COM N S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VLRX) VALERITAS HLDGS INC S Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

Date processed on 05/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EPIX) ESSA PHARMA INC COM STK (CDA) S Y N
(EYEG) EYEGATE PHARMACEUTICALS INC CO S Y N
(FEUZ) FIRST TR EUROZONE ALPHADEX ETF G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SMSI) SMITH MICRO SOFTWARE INC COM N S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VLRX) VALERITAS HLDGS INC S Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

Date processed on 05/04/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EPIX) ESSA PHARMA INC COM STK (CDA) S Y N
(EYEG) EYEGATE PHARMACEUTICALS INC CO S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SMSI) SMITH MICRO SOFTWARE INC COM N S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VLRX) VALERITAS HLDGS INC S Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

Date processed on 05/07/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(EPIX) ESSA PHARMA INC COM STK (CDA) S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SMSI) SMITH MICRO SOFTWARE INC COM N S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VLRX) VALERITAS HLDGS INC S Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

Date processed on 05/08/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(AAOI) APPLIED OPTOELECTRONICS INC CO G Y N
(ANY) SPHERE 3D CORP NEW COM SHS (CD S Y N
(ATOS) ATOSSA GENETICS INC COM NEW (D S Y N
(CHEK) CHECK-CAP LTD ORD SHS (ISR) S Y N
(CNAC) CONSTELLATION ALPHA CAP CORP S Y N
(DINT) DAVIS FUNDAMENTAL ETF TR SELE G Y N
(DWPP) FIRST TRUST ETF DORSEY WRIGHT G Y N
(EPIX) ESSA PHARMA INC COM STK (CDA) S Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(HTBX) HEAT BIOLOGICS INC COM NEW (DE S Y N
(HYAC) HAYMAKER ACQUISITION CORP CLA S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(NETE) NET ELEMENT INC COM PAR $0.000 S Y N
(SOXX) ISHARES PHLX SEMICONDUCTOR ETF G Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(WATT) ENERGOUS CORP COM STK S Y N

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