Trade Date Download Link File Creation Timestamp Friday, September 09, 2016 Download 9/9/2016 11:00:22 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
CDC VICTORY PORTFOLIOS II CEMP US G Y N COYN COPSYNC INC S Y N DGRS WISDOMTREE TR US SMALL CAP QUA G Y N DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N DWFI SPDR SER TR DORSEY WRIGHT FIXE G Y N FEM FIRST TRUST EMERGING MARKETS A G Y N FEMS FIRST TRUST EMERGING MARKETS S G Y N FNK FIRST TRUST MID CAP VALUE ALPH G Y N HTBX HEAT BIOLOGICS INC COM STK (DE S Y N KONE KINGTONE WIRELESSINFO SOLUTION S Y N MBVX MABVAX THERAPEUTICS HOLDINGS, S Y N MCUR MACROCURE LTD SHS (ISR) G Y N MPCT ISHARES TRUST MSCI GLOBAL IMPA G Y N PMPT ETFIS SER TR IISECTORS POST-MP G Y N PSCC POWERSHARES S&P SMALLCAP CONSU G Y N SLVO CREDIT SUISSE X-LINKS SILVER S G Y N SOCL GLOBAL X SOCIAL MEDIA INDEX G Y N SOXX ISHARES PHLX SEMICONDUCTOR ETF G Y N SPU SKYPEOPLE FRUIT JUICE INC COM G Y N STEMSTEMCELLS, INC. COMMON STOCK S Y N TOPS TOP SHIPS INC COM STK NEW 2016 S Y N TQQQ PROSHARES ULTRAPRO QQQ G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N VIGI VANGUARD WHITEHALL FDS INTL DI G Y N
OTC Threshold Securities as of Sept 9, 2016 Threshold Issue Data Information Issue
09/09/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N 09/09/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N 09/09/2016 BZQIY Bezeq The Israeli Telecommunication Corp Ltd Unsponsored ADR (Israel) Other OTC N Y 09/09/2016 CAIXY Caixabank Unsponsored ADR (Spain) Other OTC N Y 09/09/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y 09/09/2016 DUFRY Dufry AG Unsponsored ADR (Switzerland) Other OTC N Y 09/09/2016 GBRRF Gabriel Resources Ltd Ordinary Shares Other OTC N Y 09/09/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y 09/09/2016 HOWWY Hopewell Holdings Ltd American Depositary Shares Other OTC N Y 09/09/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 09/09/2016 ISNPY Intesa Sanpaolo S.P.A. Sponsored ADR (Italy) Other OTC N Y 09/09/2016 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y 09/09/2016 NTEKNanoTech Entertainment, Inc. Common Stock Other OTC Y N 09/09/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y 09/09/2016 SOUL Soul and Vibe Interactive Inc. Common Stock Other OTC Y N 09/09/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y 09/09/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y