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Nasdaq Regulation SHO Short Sale Threshold List September 2018

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Date processed on 09/20/2018

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
(ESGU) ISHARES TR MSCI USA ESG OPTIMI G Y N
(FMCIW) FORUM MERGER II CORP WT EXP S Y N
(GEMP) GEMPHIRE THERAPEUTICS INC COM G 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
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N

Date processed on 09/21/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ESGU) ISHARES TR MSCI USA ESG OPTIMI G Y N
(FMCIW) FORUM MERGER II CORP WT EXP S 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
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/24/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(ESGU) ISHARES TR MSCI USA ESG OPTIMI G Y N
(FMCIW) FORUM MERGER II CORP WT EXP S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(MYSZ) MY SIZE INC COM S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/25/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(ESGU) ISHARES TR MSCI USA ESG OPTIMI G Y N
(FMCIW) FORUM MERGER II CORP WT EXP S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(MYSZ) MY SIZE INC COM S Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/26/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(ESGU) ISHARES TR MSCI USA ESG OPTIMI G Y N
(FMCIW) FORUM MERGER II CORP WT EXP S Y N
(INNT) INNOVATE BIOPHARMACEUTICALS IN S Y N
(KBSF) KBS FASHION GROUP LTD COM NEW S Y N
(MYSZ) MY SIZE INC COM S Y N
(NCTY) THE9 LTD ADR NEW (CYM) Q Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TLRY) TILRAY INC COM CL 2 (DE) Q Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

Date processed on 09/27/2018

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
(ABIL) ABILITY INC SHS NEW (CYM) S Y N
(AGZD) WISDOM TREE INTEREST RATE HEDG G Y N
(ALT) ALTIMMUNE INC COM NEW G Y N
(AWSM) COOL HLDGS INC COM STK (MD) S Y N
(BNDW) VANGUARD SCOTTSDALE FDS VANGUA 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
(MYSZ) MY SIZE INC COM S Y N
(NBEV) NEW AGE BEVERAGES CO S Y N
(NCTY) THE9 LTD ADR NEW (CYM) Q Y N
(SAEX) SAEXPLORATION HLDGS INC COM PA S Y N
(SQLV) LEGG MASON ETF INVT TR SMALL C G Y N
(SUSB) ISHARES TR ESG 1-5 YR USD CORP G Y N
(TDACU) TRIDENT ACQUISITIONS CORP UNI S Y N
(TOTAW) TOTTENHAM ACQUISITION I LTD WT S Y N
(TVIX) CREDIT SUISSE AG NASSAU BRH VE G Y N

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