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NYSE Regulation SHO Short Sale Threshold List August 2018

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NYSE Regulation SHO Short Sale Threshold List August 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 08/01/2018

Symbol Security Name
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(HUYA) HUYA Inc.
(ITEQ) BlueStar Israel Technology ETF
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 08/02/2018

Symbol Security Name
(CMCL) Caledonia Mining Corporation Plc
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(HUYA) HUYA Inc.
(ITEQ) BlueStar Israel Technology ETF
(LOUP) Innovator Loup Frontier Tech ETF
(PEXL) Pacer US Export Leaders ETF
(SMH) VanEck Vectors Semiconductor ETF
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 08/03/2018

Symbol Security Name
(CMCL) Caledonia Mining Corporation Plc
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(HUYA) HUYA Inc.
(LOUP) Innovator Loup Frontier Tech ETF
(PEXL) Pacer US Export Leaders ETF
(PSQ) ProShares Short QQQ
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 08/06/2018

Symbol Security Name
(CMCL) Caledonia Mining Corporation Plc
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(HUYA) HUYA Inc.
(LOUP) Innovator Loup Frontier Tech ETF
(PEXL) Pacer US Export Leaders ETF
(PSQ) ProShares Short QQQ
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 08/07/2018

Symbol Security Name
(CMCL) Caledonia Mining Corporation Plc
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(LOUP) Innovator Loup Frontier Tech ETF
(PEXL) Pacer US Export Leaders ETF
(PLYM) Plymouth Industrial REIT, Inc.
(PSQ) ProShares Short QQQ
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

Date processed on 08/08/2018

Symbol Security Name
(CMCL) Caledonia Mining Corporation Plc
(COMG) GraniteShares S&P GSCI Commodity
(DUST) Direxion Daily Gold Miners Bear 3x Shares
(EZA) iShares MSCI South Africa ETF
(GBR) New Concept Energy Inc
(GLDM) SPDR Gold MiniShares
(KLDW) Knowledge Leaders Developed Worl
(LFEQ) Van Eck Vectors NDR CMG Long/Fla
(LOUP) Innovator Loup Frontier Tech ETF
(PEXL) Pacer US Export Leaders ETF
(PLYM) Plymouth Industrial REIT, Inc.
(PSQ) ProShares Short QQQ
(RAAX) VanEck Vectors Real Asset Allocation ETF
(UCO) ProShares Ultra Bloomberg Crude
(XLC) The Communication Services Select Sector SPDR Fund

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