That's for October 12th, but CBAY does not appear to be on the list. Which means no covering needs to be done and the O/S probably is actually in the billions.
If we are not on the threshold list going into the 15th, and we later become a threshold security, then they will have 13 days to cover. They wont have 35 days. Where do you get that they will not have to cover just because they aren't on the threshold list for the 12th? Another thing, refresh yourself on what a threshold security needs to be considered 'threshold'.
Regulation SHO defines threshold securities as any equity security of an issuer that is registered under Section 12, or that is required to file reports pursuant to Section 15(d) and where, for five consecutive settlement days:
there are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security; and
the level of fails is equal to at least one-half of one percent of the issuer's total shares outstanding
Wouldn't we need to wait 5 days from the 15th to see if there where grandfathered shorts? (not saying there is shorts, but if we are gonna give out advice to others on the rules, we might want to know what we are saying is right, right?)
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