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Nasdaq Regulation SHO Short Sale Threshold List September 2018

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Date processed on 09/12/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(BILI) BILIBILI INC ADS REPSTG SHS CL Q Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(FBZ) FIRST TRUST BRAZIL ALPHADEX FU G Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(VSMV) VICTORYSHARES US MULTIFACTOR M G Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/13/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(GERN) GERON CORP Q Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAR) TOTTENHAM ACQUISITION I LTD RT S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/14/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABAC) RENMIN TIANLI GROUP INC SHS (V S Y N
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(BRPAR) BIG ROCK PARTNERS ACQUISITION S Y N
(ESGE) ISHARES INC MSCI EM ESG OPTIMI G Y N
(GEMP) GEMPHIRE THERAPEUTICS INC COM G Y N
(GERN) GERON CORP Q Y N
(HMNY) HELIOS & MATHESON ANALYTICS C S Y N
(MARA) MARATHON PATENT GROUP INC COM S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/17/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABAC) RENMIN TIANLI GROUP INC SHS (V S Y N
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ESGE) ISHARES INC MSCI EM ESG OPTIMI G Y N
(GEMP) GEMPHIRE THERAPEUTICS INC COM G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(MTSL) MER TELEMANAGEMENT SOLUTIONS L S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(RNLC) FIRST TR VI LARGE CAP US EQUIT G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TRPX) THERAPIX BIOSCIENCES LTD SPONS S Y N
(YVR) LIQUID MEDIA GROUP LTD NEW COM S Y N

Date processed on 09/18/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABAC) RENMIN TIANLI GROUP INC SHS (V S Y N
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(ESGE) ISHARES INC MSCI EM ESG OPTIMI G Y N
(GEMP) GEMPHIRE THERAPEUTICS INC COM G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(RGSE) REAL GOODS SOLAR INC CL A NEW S Y N
(RNLC) FIRST TR VI LARGE CAP US EQUIT G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N

Date processed on 09/19/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABAC) RENMIN TIANLI GROUP INC SHS (V S Y N
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ESGE) ISHARES INC MSCI EM ESG OPTIMI G Y N
(GEMP) GEMPHIRE THERAPEUTICS INC COM G Y N
(GERN) GERON CORP Q Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(RNLC) FIRST TR VI LARGE CAP US EQUIT G Y N
(SUSC) ISHARES TR ESG USD CORPORATE B G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N

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