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NYSE Regulation SHO Short Sale Threshold List July 2018

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

Symbol Security Name
(BATT) Amplify Advanced Battery Metals and Materials ETF
(BIKR) Rogers AI Global Macro ETF
(CHRA) Charah Solutions, Inc Common Stock
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(JHMD) John Hancock Multifactor Develop
(OGEN) Oragenics Inc.
(OGIG) O'Shares Global Internet Giants ETF
(SCO) ProShares UltraShort Bloomberg Crude Oil
(SMH) VanEck Vectors Semiconductor ETF
(TRXC) TransEnterix, Inc.
(TWM) ProShares UltraShort Russell2000
(UDN) Invesco DB US Dollar Index Bearish Fund
(UNG) United States Natural Gas Fund,
(UUP) Invesco DB US Dollar Index Bullish Fund
(UVXY) ProShares Ultra VIX Short-Term F
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 07/03/2018

Symbol Security Name
(AMBO) Ambow Education Holding Ltd. American Depository Shares, each representing two Class A ordinary shar
(BATT) Amplify Advanced Battery Metals and Materials ETF
(BIKR) Rogers AI Global Macro ETF
(CHRA) Charah Solutions, Inc Common Stock
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(JHMD) John Hancock Multifactor Develop
(OGEN) Oragenics Inc.
(OGIG) O'Shares Global Internet Giants ETF
(SCO) ProShares UltraShort Bloomberg Crude Oil
(SMH) VanEck Vectors Semiconductor ETF
(TRXC) TransEnterix, Inc.
(UDN) Invesco DB US Dollar Index Bearish Fund
(UNG) United States Natural Gas Fund,
(UVXY) ProShares Ultra VIX Short-Term F
(WMLP) WESTMORELAND RESOURCE PARTNERS, LP
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 07/05/2018

Symbol Security Name
(AMBO) Ambow Education Holding Ltd. American Depository Shares, each representing two Class A ordinary shar
(BIKR) Rogers AI Global Macro ETF
(CHRA) Charah Solutions, Inc Common Stock
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(JHMD) John Hancock Multifactor Develop
(OGEN) Oragenics Inc.
(OGIG) O'Shares Global Internet Giants ETF
(SCO) ProShares UltraShort Bloomberg Crude Oil
(TRXC) TransEnterix, Inc.
(UDN) Invesco DB US Dollar Index Bearish Fund
(UVXY) ProShares Ultra VIX Short-Term F
(WMLP) WESTMORELAND RESOURCE PARTNERS, LP
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 07/06/2018

Symbol Security Name
(BIKR) Rogers AI Global Macro ETF
(CHRA) Charah Solutions, Inc Common Stock
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(JHMD) John Hancock Multifactor Develop
(OGEN) Oragenics Inc.
(PED) PEDEVCO Corp.
(SCO) ProShares UltraShort Bloomberg Crude Oil
(TRXC) TransEnterix, Inc.
(UDN) Invesco DB US Dollar Index Bearish Fund
(UVXY) ProShares Ultra VIX Short-Term F
(WMLP) WESTMORELAND RESOURCE PARTNERS, LP
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 07/09/2018

Symbol Security Name
(BIKR) Rogers AI Global Macro ETF
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(NSPR) InspireMD, Inc.
(OGEN) Oragenics Inc.
(PED) PEDEVCO Corp.
(SCO) ProShares UltraShort Bloomberg Crude Oil
(UDN) Invesco DB US Dollar Index Bearish Fund
(UVXY) ProShares Ultra VIX Short-Term F
(WMLP) WESTMORELAND RESOURCE PARTNERS, LP
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 07/10/2018

Symbol Security Name
(BIKR) Rogers AI Global Macro ETF
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(DWT) VelocityShares 3x Inverse Crude
(EWU) iShares MSCI United Kingdom ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(NSPR) InspireMD, Inc.
(OGEN) Oragenics Inc.
(PED) PEDEVCO Corp.
(SCO) ProShares UltraShort Bloomberg Crude Oil
(UDN) Invesco DB US Dollar Index Bearish Fund
(UVXY) ProShares Ultra VIX Short-Term F
(WMLP) WESTMORELAND RESOURCE PARTNERS, LP
(XLC) The Communication Services Select Sector SPDR Fund

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