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fourkids_9pets

10/02/16 4:18 PM

#1937 RE: fourkids_9pets #1936

9.26.16 .. Threshold


Trade Date Download Link File Creation Timestamp
Monday, September 26, 2016
Download
9/26/2016 11:00:22 PM
Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210

ADMP ADAMIS PHARMACEUTICALS CORP CO S Y N
AIRR FIRST TR VI RBA AMERN INDL REN G Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CFA VICTORY PORTFOLIOS II CEMP US G Y N
CID VICTORY PORTFOLIOS II CEMP INT G Y N
CSBR CHAMPIONS ONCOLOGY INC COM NEW S Y N
DRYS DRYSHIPS INC COM PAR$0.1 (MHL) S Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FNK FIRST TRUST MID CAP VALUE ALPH G Y N
GNMA ISHARES GNMA BOND ETF G Y N
LPTH LIGHTPATH TECHNOLOGIES INC S Y N
MARA MARATHON PATENT GROUP INC COM S Y N
MBVX MABVAX THERAPEUTICS HOLDINGS, S Y N
RGSE REAL GOODS SOLAR INC CL A NEW S 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
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TUTT ETFIS SER TR I TUTTLE TACTICAL G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
WATT ENERGOUS CORP COM STK S Y N
XCOM XTERA COMMUNICATIONS INC COM S G Y N



OTC Threshold Securities as of Sept 26, 2016 Threshold Issue Data Information
Issue



09/26/2016 ACIIQ Arch Coal, Inc. Common Stock Other OTC N Y
09/26/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N
09/26/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N
09/26/2016 DMQHF DHX Media Ltd Ordinary Shares Vtg Shares (Canada) Other OTC N Y
09/26/2016 ICAYY Empresas Ica Sociedad Contrladora SAB De CV Sponsored ADR (Mexico) Other OTC N Y
09/26/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y
09/26/2016 ICLD INTERCLOUD SYS INC Common Stock Other OTC N Y
09/26/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y
09/26/2016 JAMN Jammin Java Corp. Common Stock Other OTC Y N
09/26/2016 LTGHY Life Healthcare Group Holdings Ltd Unsponsored ADR (South Africa) Other OTC N Y
09/26/2016 OAOFY PJSC Tatneft American Depositary Receipts - Sponsored Other OTC N Y
09/26/2016 PBSFY ProSiebenSat.1 Media SE American Depositary Receipts - Unsponsored Other OTC N Y
09/26/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y
09/26/2016 TRKNY Turk Telekomunikasyon Unsponsored American Depository Receipt (Turkey) Other OTC N Y
09/26/2016 TKGBY Turkiye Garanti Bankasi A S American Depositary Shares Other OTC N Y
09/26/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y