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fourkids_9pets

10/21/16 7:35 AM

#1960 RE: fourkids_9pets #1959

10.20.16 .. Threshold


Trade Date Download Link File Creation Timestamp
Thursday, October 20, 2016
Download
10/20/2016 11:00:21 PM
Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210

AIRR FIRST TR VI RBA AMERN INDL REN G Y N
BSPM BIOSTAR PHARMACEUTICALS INC CO S Y N
CDC VICTORY PORTFOLIOS II CEMP US G Y N
CFA VICTORY PORTFOLIOS II CEMP US G Y N
DRAM DATARAM CORP COM PAR $ NEW 201 S Y N
DWAC ELKHORN ETF TR COMMODITY ROTAT G Y N
EKSO EKSO BIONICS HLDGS INC COM NE S Y N
FEM FIRST TRUST EMERGING MARKETS A G Y N
FYT FIRST TRUST SMALL CAP VALUE A G Y N
GLDI CREDIT SUISSE X-LINKS GOLD SHS G Y N
INVT INVENTERGY GLOBAL INC NEW COM S Y N
LVHD LEGG MASON ETF EQUITY TR LOW V G Y N
MCUR MACROCURE LTD SHS (ISR) G Y N
ONEQ FIDELITY NASDAQ COMPOSITE INDE G Y N
PPH VANECK VECTORS TR PHARMACEUTIC G Y N
QQEW FIRST TR NASDAQ 100 EQUAL WEIG G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
RGSE REAL GOODS SOLAR INC CL A NEW S Y N
SLVO CREDIT SUISSE X-LINKS SILVER S G Y N
SNSR GLOBAL X FDSINTERNET OF THINGS G Y N
SPU SKYPEOPLE FRUIT JUICE INC COM G Y N
TQQQ PROSHARES ULTRAPRO QQQ G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
UBIO PROSHARES TR ULTRAPRO NASDAQ B G Y N
VYMI VANGUARD WHITEHALL FDS INTL HI G Y N



OTC Threshold Securities as of Oct 20, 2016 Threshold Issue Data Information
Issue



10/20/2016 ABRTY Abertis Infraestructuras S.A. Unsponsored ADR (Spain) Other OTC N Y
10/20/2016 AMADY Amadeus IT Group SA American Depositary Receipts - Unsponsored Other OTC N Y
10/20/2016 AMMJ American Cannabis Company, Inc. Common Stock Other OTC Y N
10/20/2016 AMLH American Leisure Holdings, Inc. Common Stock Other OTC Y N
10/20/2016 AVTO Avantogen Oncology, Inc. Common Stock Other OTC Y N
10/20/2016 AXPW Axion Power International, Inc. Common Stock Other OTC Y N
10/20/2016 JALA Be Active Holdings, Inc. Common Stock Other OTC Y N
10/20/2016 CCLAY Coca Cola Amatil Limited Sponsored ADR Other OTC N Y
10/20/2016 GARWF Golden Arrow Res Corp Common Shares (Canada) Other OTC N Y
10/20/2016 HOWWY Hopewell Holdings Ltd American Depositary Shares Other OTC N Y
10/20/2016 MYDX MyDx, Inc. Common Stock Other OTC Y N
10/20/2016 NEWC New Colombia Resources, Incorporated Common Stock Other OTC Y N
10/20/2016 TRKK Orbital Tracking Corp Common Stock OTCBB Y N
10/20/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y
10/20/2016 SLCJY SLC Agricola Sa Sponsored American Depository Receipt (Brazil) Other OTC N Y
10/20/2016 SCAZP Sanchez Energy Corporation Perpetual Preferred Convertible Series B Other OTC Y N
10/20/2016 SHECY Shin-Etsu Chemical Co Ltd Unsponsored ADR (Japan) Other OTC N Y
10/20/2016 SWGAY Swatch Group Ag (The) Unsponsored ADR (Switzerland) Other OTC N Y
10/20/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y