Trade Date Download Link File Creation Timestamp Friday, April 21, 2017 Download 4/21/2017 11:00:20 PM Threshold Security List
Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210 ASPS ALTISOURCE PORTFOLIO SOLUTIONS Q Y N CBIO CATALYST BIOSCIENCES INC COM N S Y N DCIX DIANA CONTAINERSHIPS INC SHS N Q Y N DFNL DAVIS FUNDAMENTAL ETF TR SELE G Y N DSLV VELOCITYSHS 3X INVERSE SILVER G Y N DUSA DAVIS FUNDAMENTAL ETF TR SELE G Y N DWIN POWERSHARES ETF R II DWA TACTI G Y N DWLD DAVIS FUNDAMENTAL ETF TR SELE G Y N EDBI LEGG MASON ETF INVT TR EMERGIN G Y N ESEA EUROSEAS LTD SHS (MHL) S Y N FMB FIRST TR EXCHANGE-TRADED FD II G Y N FSZ FIRST TRUST SWITZERLAND ALPHAD G Y N GLBS GLOBUS MARITIME LIMITED SHS NE S Y N IDXG INTERPACE DIAGNOSTICS GROUP IN S Y N LMRKP LANDMARK INFRASTRUCTURE PARTNE G Y N MCEF FIRST TR ETF VIII MUNICIPAL CE G Y N MESO MESOBLAST LIMITED SPONSORED AD Q Y N MOGLC GABELLI NEXTSHARES TR GABELLI G Y N NXTD NXT-ID INC COM NEW S Y N PUI POWERSHARES DWA UTILITIES MOME G Y N RFDI FIRST TRUST ETF III RIVERFRONT G Y N SCON SUPERCONDUCTOR TECHS INC COM P S Y N SSH SUNSHINE HEART INC COMMON STO S Y N TNXP TONIX PHARMACEUTICALS HLDG COR G Y N TOPS TOP SHIPS INC COM STK NEW 2016 S Y N TVIX CREDIT SUISSE AG NASSAU BRH VE G Y N XTLB XTL BIOPHARMACEUTICALS LTD. AM S Y N
OTC Threshold Securities as of Apr 21, 2017 Threshold Issue Data Information Issue
04/21/2017 DOLV Dolat Ventures, Inc. Common Stock Other OTC Y N 04/21/2017 ENGIY ENGIE American Depositary Receipts - Sponsored Other OTC N Y 04/21/2017 ECPCY Estacio Participacoes SA Sponsored ADR (Brazil) Other OTC N Y 04/21/2017 GLFM GULFMARK OFFSHORE INC Common Stock Other OTC N Y 04/21/2017 IMPUY Impala Platinum Holdings Ltd Sponsored ADR (South Africa) Other OTC N Y 04/21/2017 KROTY Kroton Educacional SA, Brazil Sponsored ADR (Brazil) Other OTC N Y 04/21/2017 NPSNY Naspers Limited N Shs Sponsored American Depositary Receipt Representing Class N Shares (South Africa) Other OTC N Y 04/21/2017 NCMGY Newcrest Mining Ltd Sponsored American Depositary Shares Other OTC N Y 04/21/2017 OGZPY PJSC Gazprom American Depositary Receipts - Sponsored Other OTC N Y 04/21/2017 PPCLY PPC Limited American Depositary Receipts - Sponsored Other OTC N Y 04/21/2017 QBIO Q BioMed Inc. Common Stock Other OTC N Y 04/21/2017 REPCF RepliCel Life Sciences Inc. Common Shares Other OTC Y N 04/21/2017 SLSDF Select Sands Corp. Common Shares Other OTC N Y 04/21/2017 SHCAY Sharp Corp (Osaka) American Depositary Shares Other OTC N Y 04/21/2017 SHZNY Shenzhen Express Co Ltd H Shs Unsponsored ADR (China) Other OTC N Y 04/21/2017 SVBL Silver Bull Resources, Inc. Other OTC N Y 04/21/2017 SMGZY Smiths Group Plc Sponsored ADR (UK) Other OTC N Y 04/21/2017 TOSYY Toshiba Corp Unsponsored ADR (Japan) Other OTC N Y 04/21/2017 ZPAS Zoompass Holdings, Inc. Common Stock Other OTC N Y