Symbol|Security Name|Market Category|Reg SHO Threshold Flag|Rule 3210|Filler AIRR|FIRST TR VI RBA AMERN INDL REN|G|Y|N| BSPM|BIOSTAR 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| DCTH|DELCATH SYSTEMS INC COMMON COM|S|Y|N| DRNA|DICERNA PHARMACEUTICALS INC CO|Q|Y|N| DRYS|DRYSHIPS INC COM PAR$0.1 (MHL)|S|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| 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| SNSR|GLOBAL X FDSINTERNET OF THINGS|G|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| VYMI|VANGUARD WHITEHALL FDS INTL HI|G|Y|N| ZBIO|PROSHARES TR ULTRAPRO SHORT NA|G|Y|N| 20161208230019
OTC Threshold Securities as of Dec 8, 2016 Threshold Issue Data Information Issue
12/08/2016 ABBY Abby, Inc Common Stock Other OTC Y N 12/08/2016 EADSY Airbus Group Unsponsored ADR (Netherlands) Other OTC N Y 12/08/2016 NGLOY Anglo American plc Sponsored ADR (United Kingdom) Other OTC N Y 12/08/2016 AHKSY Asahi Kaisai Corporation American Depositary Shares Other OTC N Y 12/08/2016 BDVSY Bidvest Group Ltd Sponsored ADR New (South Africa) Other OTC N Y 12/08/2016 BTLCY British Land Co Sponsored ADR (UK) Other OTC N Y 12/08/2016 BRMSY Brmalls Participacoes S A Sponsored ADR (Brazil) Other OTC N Y 12/08/2016 EARK Ecoark Holdings, Inc. Common Stock Other OTC N Y 12/08/2016 EBKDY Erste Group Bank AG Sponsored ADR (Austria) Other OTC N Y 12/08/2016 HNNMY Hennes & Mauritz AB Unsponsored ADR (Sweden) Other OTC N Y 12/08/2016 HLND Highlands Bankshares, Inc. (VA) Common Stock Other OTC Y N 12/08/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 12/08/2016 MTST MetaStat, Inc. Common Stock Other OTC Y N 12/08/2016 MRLB Miramar Labs Inc Common Stock Other OTC N Y 12/08/2016 NPSNY Naspers Limited N Shs Sponsored American Depositary Receipt Representing Class N Shares (South Africa) Other OTC N Y 12/08/2016 NRBAY Nordea Bank AB Sponsored ADR (Sweden) Other OTC N Y 12/08/2016 NSRS North Springs Resources Corp. Common Stock Other OTC Y N 12/08/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 12/08/2016 SCAZP Sanchez Energy Corporation Perpetual Preferred Convertible Series B Other OTC Y N 12/08/2016 SVCMF SilverCrest Metals, Inc. Ordinary Shares (Canada) Other OTC N Y 12/08/2016 STOY Spiral Toys Inc. Common Stock Other OTC Y N 12/08/2016 STBMY St. Barbara Ltd Sponsored ADR (Australia) Other OTC N Y 12/08/2016 VNRFY Vienna Insurance Group, Sponsored ADR (Austria) Other OTC N Y 12/08/2016 WLMIY Wilmar International Ltd Unsponsored ADR (Singapore) Other OTC N Y 12/08/2016 WSTI WindStream Technologies, Inc. Common Stock Other OTC Y N 12/08/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y 12/08/2016 RTNBD root9B Holdings, Inc. Common Stock Other OTC N Y