Trade Date Download Link File Creation Timestamp Thursday, September 15, 2016 Download 9/15/2016 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 FNY FIRST TRUST MID CAP GROWTH ALP G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GNMAISHARES GNMA BOND ETF 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 15, 2016 Threshold Issue Data Information Issue
09/15/2016 ASCK AUSCRETE CORP Common Stock Other OTC Y N 09/15/2016 ADPXY Audio Pixels Holdings Ltd Sponsored ADR (Australia) Other OTC N Y 09/15/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N 09/15/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N 09/15/2016 BAFYY Balfour Beatty Plc Sponsored ADR (United Kingdom) Other OTC N Y 09/15/2016 BZQIY Bezeq The Israeli Telecommunication Corp Ltd Unsponsored ADR (Israel) Other OTC N Y 09/15/2016 CAIXY Caixabank Unsponsored ADR (Spain) Other OTC N Y 09/15/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y 09/15/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y 09/15/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 09/15/2016 ISNPY Intesa Sanpaolo S.P.A. Sponsored ADR (Italy) Other OTC N Y 09/15/2016 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y 09/15/2016 PNGAY Ping An Insurance (Group) Company of China Ltd Sponsored ADR (China) Other OTC N Y 09/15/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y 09/15/2016 SOUL Soul and Vibe Interactive Inc. Common Stock Other OTC Y N 09/15/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y 09/15/2016 TRKNY Turk Telekomunikasyon Unsponsored American Depository Receipt (Turkey) Other OTC N Y 09/15/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y