Heart Tronics Inc (HRTT)

[Rustler]

Yet, the Notice says nothing of HRTT and DTCC's Chill List. Further, the notice is from DTCC cashiering, not the DTCC enforcement division. Indeed, the notice simply states that the NSCC (National Securities Clearing Corporation) - NOT the DTCC - has exited its position from the CNS (Continuous Net Settlement System) pertaining to the CUSIP (Committee on Uniform Securities Identification Procedures) number associated with HRTT. Thus, trades involving HRTT will now occur trade for trade.

The DTCC Chill List includes those securities on which the DTCC - not the NSCC - notices and places a global lock. "Occasionally, DTCC may need to 'chill' certain transactions such as deposits, withdrawalsby-transfers (WTs), deliver orders (DOs), or restrict all these services (commonly referred to as a 'global lock') for operational, risk management or regulatory and compliance reasons." (DTCC Imporant Notice to all DTC and NSCC Participants, March 10, 2010.) The subject notice DOES NOT contain any mandate by the DTCC regarding placing HRTT on global lock, i.e., the "DTCC Chill List."