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Nasdaq Regulation SHO Short Sale Threshold List July 2018

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Nasdaq Regulation SHO Short Sale Threshold List July 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 07/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ACHV) ACHIEVE LIFE SCIENCE INC COM N S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLBS) CALADRIUS BIOSCIENCES INC COM S Y N
(CTRV) CONTRAVIR PHARMACEUTICALS INC S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(GEVO) GEVO INC COM PAR $.01 NEW S Y N
(HX) HEXINDAI INC ADR (CYM) G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(MYSZ) MY SIZE INC COM S Y N
(NVIV) INVIVO THERAPEUTICS HOLDINGS C S Y N
(RSLS) RESHAPE LIFESCIENCES INC COM N S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SFIX) STITCH FIX INC CL A Q Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(USOI) CREDIT SUISSE AG NASSAU BRH X G Y N

Date processed on 07/02/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N
(XTLB) XTL BIOPHARMACEUTICALS LTD. AM S Y N

Tickers: (VTVT), (XTLB)

Date processed on 07/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ACHV) ACHIEVE LIFE SCIENCE INC COM N S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLBS) CALADRIUS BIOSCIENCES INC COM S Y N
(CTRV) CONTRAVIR PHARMACEUTICALS INC S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(GEVO) GEVO INC COM PAR $.01 NEW S Y N
(HX) HEXINDAI INC ADR (CYM) G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(MATR) MATTERSIGHT CORP COM STK (DE) G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(MYSZ) MY SIZE INC COM S Y N
(NVIV) INVIVO THERAPEUTICS HOLDINGS C S Y N
(RSLS) RESHAPE LIFESCIENCES INC COM N S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(TPIV) TAPIMMUNE INC COM PAR $0.001 N S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N

Date processed on 07/03/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N

Tickers: (VTVT)

Date processed on 07/05/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ACHV) ACHIEVE LIFE SCIENCE INC COM N S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLBS) CALADRIUS BIOSCIENCES INC COM S Y N
(CTRV) CONTRAVIR PHARMACEUTICALS INC S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DWCR) ARROW INVTS TR DWA COUNTRY ROT G Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(GEVO) GEVO INC COM PAR $.01 NEW S Y N
(HX) HEXINDAI INC ADR (CYM) G Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(MATR) MATTERSIGHT CORP COM STK (DE) G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(RSLS) RESHAPE LIFESCIENCES INC COM N S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N

Date processed on 07/06/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ACHV) ACHIEVE LIFE SCIENCE INC COM N S Y N
(BLNKW) BLINK CHARGING CO WT EXP 02/12 S Y N
(CLBS) CALADRIUS BIOSCIENCES INC COM S Y N
(CTRV) CONTRAVIR PHARMACEUTICALS INC S Y N
(DSLV) VELOCITYSHS 3X INVERSE SILVER G Y N
(DWCR) ARROW INVTS TR DWA COUNTRY ROT G Y N
(FNK) FIRST TRUST MID CAP VALUE ALPH G Y N
(GEVO) GEVO INC COM PAR $.01 NEW S Y N
(INPX) INPIXON COMMON STOCK (NV) S Y N
(LEDS) SEMILEDS CORP COM NEW (DE) S Y N
(MATR) MATTERSIGHT CORP COM STK (DE) G Y N
(MDGS) MEDIGUS LTD SPONSORED ADR NEW S Y N
(SBOT) STELLAR BIOTECHNOLOGIES INC CO S Y N
(SRTS) SENSUS HEALTHCARE INC COM S Y N
(TUR) ISHARES MSCI TURKEY ETF G Y N
(VTVT) VTV THERAPEUTICS INC CL A (DE) G Y N

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