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fourkids_9pets

10/02/16 1:11 PM

#1929 RE: fourkids_9pets #1928

9.14.16 .. Threshold

Trade Date Download Link File Creation Timestamp
Wednesday, September 14, 2016
Download
9/14/2016 11:00:20 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
CSBR CHAMPIONS ONCOLOGY INC COM NEW S Y N
DGRS WISDOMTREE TR US SMALL CAP QUA G Y N
DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FEMS FIRST TRUST EMERGING MARKETS S G Y N
FJP FIRST TRUST JAPAN ALPHADEX FUN G Y N
FNK FIRST TRUST MID CAP VALUE ALPH G Y N
FYT FIRST TRUST SMALL CAP VALUE A G Y N
HTBX HEAT BIOLOGICS INC COM STK (DE S Y N
KONE KINGTONE WIRELESSINFO SOLUTION S Y N
LITE LUMENTUM HLGDS INC COM STK Q Y N
LVHD LEGG MASON ETF EQUITY TR LOW V G 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
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
SRET GLOBAL X FDS SUPERDIVIDEND REI G 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 14, 2016 Threshold Issue Data Information
Issue



09/14/2016 ASCK AUSCRETE CORP Common Stock Other OTC Y N
09/14/2016 ADPXY Audio Pixels Holdings Ltd Sponsored ADR (Australia) Other OTC N Y
09/14/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N
09/14/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N
09/14/2016 BAFYY Balfour Beatty Plc Sponsored ADR (United Kingdom) Other OTC N Y
09/14/2016 BZQIY Bezeq The Israeli Telecommunication Corp Ltd Unsponsored ADR (Israel) Other OTC N Y
09/14/2016 CAIXY Caixabank Unsponsored ADR (Spain) Other OTC N Y
09/14/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y
09/14/2016 GBRRF Gabriel Resources Ltd Ordinary Shares Other OTC N Y
09/14/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y
09/14/2016 HOWWY Hopewell Holdings Ltd American Depositary Shares Other OTC N Y
09/14/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y
09/14/2016 ISNPY Intesa Sanpaolo S.P.A. Sponsored ADR (Italy) Other OTC N Y
09/14/2016 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y
09/14/2016 PNGAY Ping An Insurance (Group) Company of China Ltd Sponsored ADR (China) Other OTC N Y
09/14/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y
09/14/2016 SOUL Soul and Vibe Interactive Inc. Common Stock Other OTC Y N
09/14/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y
09/14/2016 TRKNY Turk Telekomunikasyon Unsponsored American Depository Receipt (Turkey) Other OTC N Y
09/14/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y