Trade Date Download Link File Creation Timestamp Wednesday, December 07, 2016 Download 12/7/2016 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 BSPMBIOSTAR PHARMACEUTICALS INC CO S Y N CATH GLOBAL X FDS GLOBAL X S&P 500 G Y N CDC VICTORY PORTFOLIOS II CEMP US G Y N CFA VICTORY PORTFOLIOS II CEMP US G Y N CFO VICTORY PORTFOLIOS II CEMP US G Y N CIBR FIRST TR FD II NASDAQ CYBERSEC G Y N CID VICTORY PORTFOLIOS II CEMP INT G Y N DRYSDRYSHIPS INC COM PAR$0.1 (MHL) S Y N DWIN POWERSHARES ETF R II DWA TACTI G Y N DXJS WISDOMTREE TR JAPAN SMALLCAP H G Y N EFUT EFUTURE HOLDING INC ORD SHS (C S Y N EVGBC EATON VANCE NEXTSHARES TR GLOB G Y N FCVT FIRST TR EXCHANGE TRADED FD IV G Y N FDIV FIRST TRUST STRATEGIC INCOME G Y N FLN FIRST TRUST LATIN AMERICA ALPH G Y N FNX FIRST TR MID CAP CORE ALPHADEX G Y N FTXO FIRST TR ETF VI NASDAQ BK ETF G Y N FYC FIRST TRUST SMALL CAP GROWTH A G Y N FYT FIRST TRUST SMALL CAP VALUE A G Y N GLBS GLOBUS MARITIME LIMITED SHS NE S Y N JKI ISHARES MORNINGSTAR MID CAP VA G Y N KRNT KORNIT DIGITAL LTD ORD SHS (IS Q Y N KWEB KRANESHARES TR CSI CHINA INTER G Y N LVHD LEGG MASON ETF EQUITY TR LOW V G Y N PSCM POWERSHARES S&P SMALLCAP MATER G Y N QABA FIRST TRUST NASDAQ ABA COMMUNI G Y N RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N SCON SUPERCONDUCTOR TECHS INC COM P S Y N SINO SINO-GLOBAL SHIPPING AMERICA.L S Y N SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N SRET GLOBAL X FDS SUPERDIVIDEND REI G Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N USLB POWERSHARES RUSSELL 1000 LOW B G Y N VGLT VANGUARD LG-TRM GOVT BD ETF G Y N VIGI VANGUARD WHITEHALL FDS INTL DI G Y N VRNS VARONIS SYS INC COM STK (DE) Q Y N VYMI VANGUARD WHITEHALL FDS INTL HI G Y N ZBIO PROSHARES TR ULTRAPRO SHORT NA G Y N
OTC Threshold Securities as of Dec 7, 2016 Threshold Issue Data Information Issue
12/07/2016 EADSY Airbus Group Unsponsored ADR (Netherlands) Other OTC N Y 12/07/2016 NGLOY Anglo American plc Sponsored ADR (United Kingdom) Other OTC N Y 12/07/2016 AHKSY Asahi Kaisai Corporation American Depositary Shares Other OTC N Y 12/07/2016 BDVSY Bidvest Group Ltd Sponsored ADR New (South Africa) Other OTC N Y 12/07/2016 BTLCY British Land Co Sponsored ADR (UK) Other OTC N Y 12/07/2016 BRMSY Brmalls Participacoes S A Sponsored ADR (Brazil) Other OTC N Y 12/07/2016 EARK Ecoark Holdings, Inc. Common Stock Other OTC N Y 12/07/2016 EBKDY Erste Group Bank AG Sponsored ADR (Austria) Other OTC N Y 12/07/2016 HNNMY Hennes & Mauritz AB Unsponsored ADR (Sweden) Other OTC N Y 12/07/2016 HLND Highlands Bankshares, Inc. (VA) Common Stock Other OTC Y N 12/07/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 12/07/2016 MTST MetaStat, Inc. Common Stock Other OTC Y N 12/07/2016 NRBAY Nordea Bank AB Sponsored ADR (Sweden) Other OTC N Y 12/07/2016 NSRS North Springs Resources Corp. Common Stock Other OTC Y N 12/07/2016 SCAZP Sanchez Energy Corporation Perpetual Preferred Convertible Series B Other OTC Y N 12/07/2016 SVCMF SilverCrest Metals, Inc. Ordinary Shares (Canada) Other OTC N Y 12/07/2016 STOY Spiral Toys Inc. Common Stock Other OTC Y N 12/07/2016 STBMY St. Barbara Ltd Sponsored ADR (Australia) Other OTC N Y 12/07/2016 VNRFY Vienna Insurance Group, Sponsored ADR (Austria) Other OTC N Y 12/07/2016 WLMIY Wilmar International Ltd Unsponsored ADR (Singapore) Other OTC N Y 12/07/2016 WSTI WindStream Technologies, Inc. Common Stock Other OTC Y N 12/07/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y 12/07/2016 RTNBD root9B Holdings, Inc. Common Stock Other OTC N Y