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fourkids_9pets

01/12/17 1:31 PM

#2019 RE: fourkids_9pets #2018

12.14.16 .. Threshold

Trade Date Download Link File Creation Timestamp
Wednesday, December 14, 2016
Download
12/14/2016 11:00:26 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
ALTY GLOBAL X FDS SUPERDIVIDEND ALT 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
CSBR CHAMPIONS ONCOLOGY INC COM NEW S 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
DWAC ELKHORN ETF TR COMMODITY ROTAT 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
FNY FIRST TRUST MID CAP GROWTH ALP 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
KRNT KORNIT DIGITAL LTD ORD SHS (IS Q Y N
PFI POWERSHARES DWA FINANCIAL MOM G Y N
PRN POWERSHARES DWA INDUSTRIALS M G Y N
PSCE POWERSHARES S&P SMALLCAP ENERG G Y N
PSCM POWERSHARES S&P SMALLCAP MATER G Y N
PXI POWERSHARES DWA ENERGY MOMENTU G Y N
QABA FIRST TRUST NASDAQ ABA COMMUNI G Y N
QQQ POWERSHARES QQQ TR UNIT SER-1 G Y N
RDVY FIRST TR ETF FIRST TR NASDAQ R G Y N
RFDI FIRST TRUST ETF III RIVERFRONT G Y N
RXII RXI PHARMACEUTICALS CORP COM S S Y N
SCON SUPERCONDUCTOR TECHS INC COM P S Y N
SKLN SKYLINE MEDICAL INC. COM PAR $ S Y N
SNSR GLOBAL X FDSINTERNET OF THINGS G Y N
TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N
UGLD VELOCITYSHARES 3X LONG GOLD ET G Y N
VGLT VANGUARD LG-TRM GOVT BD ETF G Y N
VIGI VANGUARD WHITEHALL FDS INTL DI G Y N
VTWO VANGUARD RUSSELL 2000 ETF G Y N
VYMI VANGUARD WHITEHALL FDS INTL HI G Y N



OTC Threshold Securities as of Dec 14, 2016 Threshold Issue Data Information
Issue


12/14/2016 AMKBY A.P. Moller-Maersk A/S Unsponsored American Depository Receipt (Denmark) Other OTC N Y
12/14/2016 ABBY Abby, Inc Common Stock Other OTC Y N
12/14/2016 AMLH American Leisure Holdings, Inc. Common Stock Other OTC Y N
12/14/2016 NGLOY Anglo American plc Sponsored ADR (United Kingdom) Other OTC N Y
12/14/2016 AHKSY Asahi Kaisai Corporation American Depositary Shares Other OTC N Y
12/14/2016 BTLCY British Land Co Sponsored ADR (UK) Other OTC N Y
12/14/2016 CODYY Compagnie de Saint Gobain Unsponsored ADR (France) Other OTC N Y
12/14/2016 DNRG Dominovas Energy Corporation. Common Stock Other OTC Y N
12/14/2016 ENGIY ENGIE American Depositary Receipts - Sponsored Other OTC N Y
12/14/2016 EARK Ecoark Holdings, Inc. Common Stock Other OTC N Y
12/14/2016 HDELY HeidelbergCement Ag Unsponsored ADR (Germany) Other OTC N Y
12/14/2016 HNNMY Hennes & Mauritz AB Unsponsored ADR (Sweden) Other OTC N Y
12/14/2016 HLND Highlands Bankshares, Inc. (VA) Common Stock Other OTC Y N
12/14/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y
12/14/2016 IFJPY Informa PLC Sponsored ADR (Jersey) Other OTC N Y
12/14/2016 MTST MetaStat, Inc. Common Stock Other OTC Y N
12/14/2016 MRLB Miramar Labs Inc Common Stock Other OTC N Y
12/14/2016 NPSNY Naspers Limited N Shs Sponsored American Depositary Receipt Representing Class N Shares (South Africa) Other OTC N Y
12/14/2016 NRBAY Nordea Bank AB Sponsored ADR (Sweden) Other OTC N Y
12/14/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y
12/14/2016 SLCJY SLC Agricola Sa Sponsored American Depository Receipt (Brazil) Other OTC N Y
12/14/2016 SSPC SpendSmart Networks, Inc. Common Stock Other OTC Y N
12/14/2016 STBMY St. Barbara Ltd Sponsored ADR (Australia) Other OTC N Y
12/14/2016 VNRFY Vienna Insurance Group, Sponsored ADR (Austria) Other OTC N Y
12/14/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y