Trade Date Download Link File Creation Timestamp Monday, December 19, 2016 Download 12/19/2016 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 ALTY GLOBAL X FDS SUPERDIVIDEND ALT G Y N BBRG BRAVO BRIO RESTAURANT GROUP, I Q Y N BSPMBIOSTAR PHARMACEUTICALS INC CO S 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 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 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 IDXG INTERPACE DIAGNOSTICS GROUP IN S 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 PSCI POWERSHARES S&P SMALLCAP INDUS 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 TRUST RISING DIVIDEND AC G Y N RFDI FIRST TRUST ETF III RIVERFRONT G Y N RGSE REAL GOODS SOLAR INC CL A NEW S 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 VTWO VANGUARD RUSSELL 2000 ETF G Y N VYMI VANGUARD WHITEHALL FDS INTL HI G Y N WOOD ISHARES GLOBAL TIMBER & FOREST G Y N
OTC Threshold Securities as of Dec 19, 2016 Threshold Issue Data Information Issue
12/19/2016 AMKBY A.P. Moller-Maersk A/S Unsponsored American Depository Receipt (Denmark) Other OTC N Y 12/19/2016 ABBY Abby, Inc Common Stock Other OTC Y N 12/19/2016 AMLH American Leisure Holdings, Inc. Common Stock Other OTC Y N 12/19/2016 NGLOY Anglo American plc Sponsored ADR (United Kingdom) Other OTC N Y 12/19/2016 AHKSY Asahi Kaisai Corporation American Depositary Shares Other OTC N Y 12/19/2016 AVMXY Avita Medical Ltd. Sponsored ADR (Austrailia) Other OTC N Y 12/19/2016 BMDPD Banca Monte Dei Paschi Di Siena Spa Siena American Depositary Receipts - Unsponsored Other OTC N Y 12/19/2016 BERI Blue Earth Resources, Inc. Common Stock Other OTC Y N 12/19/2016 BTLCY British Land Co Sponsored ADR (UK) Other OTC N Y 12/19/2016 CODYY Compagnie de Saint Gobain Unsponsored ADR (France) Other OTC N Y 12/19/2016 DNRG Dominovas Energy Corporation. Common Stock Other OTC Y N 12/19/2016 EARK Ecoark Holdings, Inc. Common Stock Other OTC N Y 12/19/2016 GLDLF Goldmining Inc Common Shares Other OTC N Y 12/19/2016 HDELY HeidelbergCement Ag Unsponsored ADR (Germany) Other OTC N Y 12/19/2016 HLND Highlands Bankshares, Inc. (VA) Common Stock Other OTC Y N 12/19/2016 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 12/19/2016 IFJPY Informa PLC Sponsored ADR (Jersey) Other OTC N Y 12/19/2016 IVITF Invictus MD Strategies Corp. Ordinary Shares Other OTC N Y 12/19/2016 KHTRF Knight Therapeutics Inc Common Shares (Canada) Other OTC N Y 12/19/2016 MTST MetaStat, Inc. Common Stock Other OTC Y N 12/19/2016 NPSNY Naspers Limited N Shs Sponsored American Depositary Receipt Representing Class N Shares (South Africa) Other OTC N Y 12/19/2016 NRBAY Nordea Bank AB Sponsored ADR (Sweden) Other OTC N Y 12/19/2016 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 12/19/2016 PTRC Petro River Oil Corp Common Shares Other OTC Y N 12/19/2016 RGLSF Regulus Resources, Inc. New Ordinary Shares (Canada) Other OTC N Y 12/19/2016 ROYMY Royal Mail PLC Unsponsored ADR (United Kingdom) Other OTC N Y 12/19/2016 SLCJY SLC Agricola Sa Sponsored American Depository Receipt (Brazil) Other OTC N Y 12/19/2016 SHCAY Sharp Corp (Osaka) American Depositary Shares Other OTC N Y 12/19/2016 SSPC SpendSmart Networks, Inc. Common Stock Other OTC Y N 12/19/2016 SGMD Sugarmade, Inc. Common Stock Other OTC Y N 12/19/2016 XREE X Rail Enterprises, Inc. Common Stock Other OTC N Y