Short Sale Circuit Breaker


The SEC adopted amendments to Regulation SHO with a compliance date of November 10, 2010. Among the rule changes, the SEC introduced Rule 201 (Alternative Uptick Rule), a short sale-related circuit breaker that when triggered, will impose a restriction on prices at which securities may be sold short. The SEC also issued guidance for broker-dealers wishing to mark certain qualifying orders 201cshort exempt.201d For more details, refer to Amendments to Regulation SHO (Release 34-61595).

Trade Date Download Link File Creation Timestamp
Friday, December 14,2018 12/14/2018 4:30:24 PM

Symbol Security Name Market Category Trigger Time
EYEN Eyenovia, Inc. CM R 12/13/2018 9:30:00 AM
CYHHZ Community Health Systems, Inc. Q 12/13/2018 9:30:00 AM
MRNS Marinus Pharmaceuticals CS Q 12/13/2018 9:30:00 AM
LLNW Limelight Networks, Inc. Q 12/13/2018 9:30:00 AM
FRED Fred's Inc Q 12/13/2018 9:30:00 AM
AGTC Applied Genetic Technologies C Q 12/13/2018 9:30:00 AM
MTP Midatech Pharma PLC ADS R 12/13/2018 9:30:00 AM
SGYP Synergy Pharmaceuticals, Inc. Q 12/13/2018 9:30:00 AM
ENTX Entera Bio Ltd. Ord Shs R 12/13/2018 9:30:01 AM
SKYS Sky Solar Holdings ADS R 12/13/2018 9:30:01 AM
ESTR Estre Ambiental, Inc. Q 12/13/2018 9:30:01 AM
CBNK Capital Bancorp, Inc. Cmn Stk Q 12/13/2018 9:30:03 AM
TMSR TMSR Holding Co Ltd Cmn R 12/13/2018 9:30:26 AM
PTX Pernix Therapeutics Hldgs Cm Q 12/13/2018 9:31:40 AM
MDCO Medicines Company (The) Q 12/13/2018 9:32:20 AM
CTRV ContraVir Pharm Inc. R 12/13/2018 9:32:37 AM
VBIV VBI Vaccines, Inc. Cm Stk R 12/13/2018 9:33:14 AM
TOCA Tocagen Inc. Common Stock Q 12/13/2018 9:33:49 AM
STRM Streamline Health Solutions R 12/13/2018 9:35:12 AM
MDGSW Medigus Ltd. Ser C Wts R 12/13/2018 9:36:13 AM
RGLS Regulus Therapeutics Inc. Q 12/13/2018 9:37:39 AM
DGLY Digital Ally, Inc. Cmn R 12/13/2018 9:37:40 AM
NMCI Navios Maritime Cntr Cmn Unts Q 12/13/2018 9:38:41 AM
ALT Altimmune, Inc. Q 12/13/2018 9:39:11 AM
MBRX Moleculin Biotech, Inc. COM R 12/13/2018 9:39:21 AM
NFEC NF Energy Saving Corporation R 12/13/2018 9:40:26 AM
DELT Delta Technology Hld Ltd Ord R 12/13/2018 9:47:00 AM
ESTRW Estre Ambiental, Inc. Q 12/13/2018 9:49:14 AM
ALGRR Allegro Merger Corp. Right R 12/13/2018 9:50:13 AM
GLG China Commercial Credit, Inc. R 12/13/2018 9:50:37 AM
IMRNW Immuron Limited R 12/13/2018 9:52:26 AM
FMCIW Forum Merger II Corporation WT R 12/13/2018 9:52:51 AM
PHAS PhaseBio Pharma Common Stk Q 12/13/2018 9:52:56 AM
STAF Staffing 360 Solutions Cmn R 12/13/2018 9:53:05 AM
LOGC LogicBio Therapeutics Cmn Q 12/13/2018 9:53:33 AM
FRAN Francescas Holdings Corp Q 12/13/2018 9:56:20 AM
CCLP CSI Compressco LP Cmn Uts Q 12/13/2018 9:57:35 AM
PHIOW Phio Pharmaceuticals Corp. R 12/13/2018 10:04:30 AM
TBLTW ToughBuilt Ind Warrant R 12/13/2018 10:07:27 AM
WMGIZ Wright Medical Group N.V. CVR Q 12/13/2018 10:07:58 AM
FAT FAT Brands Inc. Cmn Stk R 12/13/2018 10:08:02 AM
OPOF Old Point Financial Corp R 12/13/2018 10:13:39 AM
HBP Huttig Building Products, Inc. R 12/13/2018 10:14:59 AM
NCSM NCS Multistage Holdings CM Q 12/13/2018 10:16:43 AM
NETE Net Element, Inc. Cmn Stk R 12/13/2018 10:21:55 AM
AMRB American River Bankshares Q 12/13/2018 10:24:47 AM
BVSN BroadVision Inc R 12/13/2018 10:25:47 AM
TENX Tenax Therapeutics, Inc. R 12/13/2018 10:30:09 AM
TACOW Del Taco Restnts Warrants R 12/13/2018 10:30:23 AM
TRMD TORM plc CLACOM Q 12/13/2018 10:30:44 AM
YOGA YogaWorks, Inc. CM Q 12/13/2018 10:31:51 AM
TLRY Tilray, Inc. Class 2 Q 12/13/2018 10:32:49 AM
CTIC CTI BioPharma Corp. R 12/13/2018 10:40:03 AM
ARCW ARC Group Worldwide, Inc. R 12/13/2018 10:40:18 AM
ASCMA Ascent Capital Group A Q 12/13/2018 10:43:30 AM
IPWR Ideal Power Inc. R 12/13/2018 10:47:51 AM
CPAH CounterPath Corporation R 12/13/2018 10:48:39 AM
MARA Marathon Patent Grp Inc R 12/13/2018 10:52:39 AM
UXIN Uxin Limited ADS Q 12/13/2018 10:54:05 AM
IMDZ Immune Design Corp Common Stk Q 12/13/2018 10:57:36 AM
APDN Applied DNA Sciences Cmn R 12/13/2018 11:02:21 AM
PSTI Pluristem Therapeutics Inc. R 12/13/2018 11:03:13 AM
TIBRW Tiberius Acquisition Corp Wt R 12/13/2018 11:05:10 AM
HYRE HyreCar Inc. Cm St R 12/13/2018 11:12:28 AM
APDNW Applied DNA Scien Warrant R 12/13/2018 11:12:54 AM
WRLSR Pensare Acquisition Corp Right R 12/13/2018 11:13:25 AM
YTEN Yield10 Bioscience, Inc. R 12/13/2018 11:15:41 AM
OPTT Ocean Power Technologies, Inc. R 12/13/2018 11:16:11 AM
ASNA Ascena Retail Group Cmn Stk Q 12/13/2018 11:21:14 AM
AMRWW Alta Mesa Resources, Inc. Wts R 12/13/2018 11:22:30 AM
OESX Orion Energy Systems, Inc Cmn R 12/13/2018 11:24:26 AM
SMED Sharps Compliance Cmn Stk R 12/13/2018 11:39:47 AM
LIFE aTyr Pharma, Inc. Cm Q 12/13/2018 11:40:45 AM
CNACW Constellation Alpha Capital Wt R 12/13/2018 11:41:00 AM
ALRN Aileron Therapeutics, Inc. CS Q 12/13/2018 11:44:32 AM
AEZS Aeterna Zentaris Inc. R 12/13/2018 11:46:45 AM
ABIL Ability Inc. R 12/13/2018 11:48:05 AM
PTLA Portola Pharmaceuticals Cmn St Q 12/13/2018 11:49:28 AM
HJLIW Hancock Jaffe Laboratories Wts R 12/13/2018 11:49:38 AM
YRIV Yangtze Riv Pt & Log Ltd Q 12/13/2018 11:49:52 AM
FLMNW Falcon Minerals Cp Wt R 12/13/2018 11:58:46 AM
FPRX Five Prime Therapeutics Cmn Q 12/13/2018 12:01:30 PM
LJPC La Jolla Pharmctl Co Common R 12/13/2018 12:02:57 PM
LIVX LiveXLive Media, Inc. Cm St R 12/13/2018 12:03:47 PM
SNNA Sienna Biopharmaceuticals Cmn Q 12/13/2018 12:04:46 PM
NESRW National Energy SV Reunited WT R 12/13/2018 12:07:32 PM
CLUB Town Sports International Hold Q 12/13/2018 12:25:24 PM
DEST Destination Maternity Cp Q 12/13/2018 12:33:37 PM
TMCXW Trinity Merger Corp. WTS R 12/13/2018 12:34:17 PM
SELB Selecta Biosciences Common S Q 12/13/2018 12:36:57 PM
FSACW Fed Street Acquisition WRNT R 12/13/2018 12:42:38 PM
SRTSW Sensus Healthcare WT R 12/13/2018 12:45:21 PM
EYES Second Sight Medical Cmn R 12/13/2018 12:50:29 PM
BSVN Bank7 Corp. Common Stock Q 12/13/2018 12:52:51 PM
BLNKW Blink Charging Co. Wt R 12/13/2018 12:54:37 PM
DVAX Dynavax Technologies Corp R 12/13/2018 12:56:36 PM
MHLD Maiden Holdings, Ltd. Q 12/13/2018 12:56:44 PM
SPPI Spectrum Pharmaceuticals Inc Q 12/13/2018 12:57:15 PM
KMPH KemPharm, Inc. Cmn Q 12/13/2018 12:58:22 PM
ARKR Ark Restaurants Corp Q 12/13/2018 12:58:29 PM
GEMP Gemphire Therapeutics CM Q 12/13/2018 12:59:56 PM
TBLT ToughBuilt Ind Common Stock R 12/13/2018 1:01:59 PM
MESA Mesa Air Group, Inc. CM Q 12/13/2018 1:04:25 PM
ABEOW Abeona Therapeutics Wts R 12/13/2018 1:05:54 PM
NXTDW Nxt-ID, Inc. Warrant R 12/13/2018 1:12:29 PM
EVER EverQuote, Inc. Cl A Cmn Stk Q 12/13/2018 1:16:17 PM
OSS One Stop Systems CM R 12/13/2018 1:31:04 PM
DVCR Diversicare Healthcare R 12/13/2018 1:35:37 PM
MTECW MTech Acquisition Corp. WT R 12/13/2018 1:45:36 PM
ONCY Oncolytics Biotech Inc. Cmn R 12/13/2018 1:46:49 PM
CARA Cara Therapeutics, Inc. Q 12/13/2018 1:50:42 PM
GLMD Galmed Pharmaceuticals Ltd R 12/13/2018 1:54:40 PM
OPRX OptimizeRx Corporation CM R 12/13/2018 1:59:11 PM
MARK Remark Hldgs Inc. Cmn Stk R 12/13/2018 2:01:42 PM
RUBY Rubius Therapeutics Cm St Q 12/13/2018 2:02:12 PM
DXYN The Dixie Group Inc Q 12/13/2018 2:02:45 PM
DOTAR Draper Oakwood Techn Aq. Rt R 12/13/2018 2:04:49 PM
OTLK Outlook Therapeutics Cm St R 12/13/2018 2:05:36 PM
CNACR Constellation Alpha Capital Rt R 12/13/2018 2:10:19 PM
TMDI Titan Medical Inc. Ord Shs R 12/13/2018 2:12:40 PM
TRIL Trillium Therapeutics Cmn Shs R 12/13/2018 2:17:45 PM
NHLDW National Holdings Corp Wts R 12/13/2018 2:18:25 PM
KTOVW Kitov Pharma Ltd. Wts R 12/13/2018 2:18:32 PM
VRML Vermillion, Inc. R 12/13/2018 2:26:11 PM
APVO Aptevo Therapeutics CS Q 12/13/2018 2:28:41 PM
GLACW Greenland Acquisition Corp WT R 12/13/2018 2:38:24 PM
MBIO Mustang Bio, Inc. CM Q 12/13/2018 2:40:30 PM
INAP Internap Corp Cmn Stk Q 12/13/2018 2:45:01 PM
SGLBW Sigma Labs, Inc. Wt R 12/13/2018 2:45:47 PM
ARDX Ardelyx, Inc. Cmn Stk Q 12/13/2018 2:51:41 PM
CETXP Cemtrex Inc. PFD R 12/13/2018 2:56:27 PM
FWP Forward Pharma A/S ADS Q 12/13/2018 2:56:47 PM
CETXW Cemtrex Inc. WTS R 12/13/2018 2:59:18 PM
ASPU Aspen Group Inc. Cmn Stk R 12/13/2018 3:01:44 PM
KBLMW KBL Merger Corp. IV WTS R 12/13/2018 3:02:03 PM
CHKE Cherokee Inc R 12/13/2018 3:07:02 PM
EQ Equillium, Inc. Common Stock Q 12/13/2018 3:09:43 PM
DTRM Determine, Inc. R 12/13/2018 3:11:06 PM
CHFS CHF Solutions, Inc. R 12/13/2018 3:12:15 PM
SOLOW Electrameccanica Vehicles Wts R 12/13/2018 3:18:03 PM
NYNY Empire Resorts Inc Q 12/13/2018 3:19:30 PM
DCAR DropCar, Inc. Cmn Stk R 12/13/2018 3:22:19 PM
ELOX Eloxx Pharma Cmn Stk Q 12/13/2018 3:26:46 PM
CYRXW CryoPort, Inc. Warrants R 12/13/2018 3:28:05 PM
ZIONW Zions Bancorporation Wts NA Q 12/13/2018 3:29:34 PM
BYFC Broadway Financial Corporation R 12/13/2018 3:36:04 PM
WTER Alkaline Water Company CS R 12/13/2018 3:37:41 PM
MCEP Mid-Con Energy Partners, LP Q 12/13/2018 3:41:33 PM
RETO ReTo Eco-Solutions, Inc. Cm St R 12/13/2018 3:41:37 PM
AKBA Akebia Therapeutics, Inc. Cmn Q 12/13/2018 3:42:25 PM
FSNN Fusion Connect, Inc. R 12/13/2018 3:54:15 PM
PRVB Provention Bio, Inc. Cm St R 12/13/2018 3:57:56 PM
LINC Lincoln Educational Services C Q 12/13/2018 3:58:03 PM
FVE Five Star Senior Living Inc Cm R 12/13/2018 3:59:47 PM
RESN Resonant Inc. Cmn Stk R 12/13/2018 3:59:58 PM
SIEB Siebert Financial Corp R 12/13/2018 4:00:00 PM
VKTXW Viking Therapeutics, Inc. WTS R 12/13/2018 4:00:00 PM
ADXS Advaxis, Inc. Common Stock Q 12/14/2018 9:30:00 AM
IDRA Idera Pharma Cmn Stk R 12/14/2018 9:30:00 AM
SSLJ SSLJ.com Limited Cl A Ord Sh R 12/14/2018 9:30:00 AM
ARDM Aradigm Corporation Cmn Stk R 12/14/2018 9:30:00 AM
SGYP Synergy Pharmaceuticals, Inc. Q 12/14/2018 9:30:00 AM
OTLK Outlook Therapeutics Cm St R 12/14/2018 9:30:00 AM
ASTC Astrotech Corporation R 12/14/2018 9:30:00 AM
WTRHW Waitr Holdings Inc. Wt R 12/14/2018 9:30:00 AM
AXON Axovant Sciences Ltd Cmn Stk Q 12/14/2018 9:30:00 AM
CBAT CBAK Energy Technology, Inc. Q 12/14/2018 9:30:00 AM
OHAI OHA Investment Corp Cmn Stk Q 12/14/2018 9:30:00 AM
DTEA DAVIDsTEA Inc. Cm St Q 12/14/2018 9:30:00 AM
ADIL Adial Pharmaceuticals, Inc. Cm R 12/14/2018 9:30:01 AM
SKYS Sky Solar Holdings ADS R 12/14/2018 9:30:01 AM
ADILW Adial Pharmaceuticals Warrant R 12/14/2018 9:30:02 AM
ECPG Encore Capital Group, Inc. Q 12/14/2018 9:30:19 AM
SNOAW Sonoma Pharma Wts R 12/14/2018 9:30:34 AM
ASCMA Ascent Capital Group A Q 12/14/2018 9:32:40 AM
ALT Altimmune, Inc. Q 12/14/2018 9:33:22 AM
YRIV Yangtze Riv Pt & Log Ltd Q 12/14/2018 9:33:47 AM
LOVE The Lovesac Company CM Q 12/14/2018 9:35:08 AM
LFACW LF Capital Acquistion Corp.WT R 12/14/2018 9:35:15 AM
THOR Synthorx Inc Cmn Stk Q 12/14/2018 9:35:23 AM
FUV Arcimoto, Inc. CM R 12/14/2018 9:35:38 AM
DRIO DarioHealth Corp. Cmn Stk R 12/14/2018 9:36:33 AM
GTIM Good Times Restaurants R 12/14/2018 9:36:39 AM
CLRBZ Cellectar Biosciences Sr A WT R 12/14/2018 9:36:44 AM
WHLR Wheeler Real Estate Investment R 12/14/2018 9:38:02 AM
CRVS Corvus Pharma Cmn Q 12/14/2018 9:38:18 AM
CLVS Clovis Oncology, Inc. Q 12/14/2018 9:38:19 AM
ADOM ADOMANI, Inc. CM R 12/14/2018 9:39:14 AM
AMMA Alliance MMA, Inc. Cmn R 12/14/2018 9:39:46 AM
DSKEW Daseke, Inc. Warrant R 12/14/2018 9:40:27 AM
SNNA Sienna Biopharmaceuticals Cmn Q 12/14/2018 9:41:22 AM
MFSF MutualFirst Financial Inc, Q 12/14/2018 9:41:30 AM
ICON Iconix Brand Group, Inc. Q 12/14/2018 9:41:36 AM
TRNS Transcat Inc Q 12/14/2018 9:44:56 AM
SFST Southern First Bancshares Inc Q 12/14/2018 9:46:59 AM
CODX Co-Diagnostics, Inc. CM R 12/14/2018 9:49:38 AM
OHGI One Horizon Group Common Stk R 12/14/2018 9:50:15 AM
VBFC Village Bank & Trust Financial R 12/14/2018 9:56:14 AM
LASR nLIGHT, Inc. Common Stock Q 12/14/2018 9:58:50 AM
ESES Eco-Stim Energy Sltns Cmn R 12/14/2018 10:00:51 AM
TDACW Trident Acquisitions Corp. WT R 12/14/2018 10:03:00 AM
NMCI Navios Maritime Cntr Cmn Unts Q 12/14/2018 10:03:19 AM
NFEC NF Energy Saving Corporation R 12/14/2018 10:03:35 AM
IPIC iPic Entertainment Inc.CS R 12/14/2018 10:03:53 AM
BLIN Bridgeline Digital, Inc. R 12/14/2018 10:04:23 AM
SHIP Seanergy Maritime Hld Corp R 12/14/2018 10:05:47 AM
WRLSR Pensare Acquisition Corp Right R 12/14/2018 10:07:27 AM
SES Synthesis Energy Sytems Inc R 12/14/2018 10:08:29 AM
HX Hexindai Inc. ADR Q 12/14/2018 10:09:26 AM
FRAN Francescas Holdings Corp Q 12/14/2018 10:12:31 AM
HIIQ Health Insurance Innovations, Q 12/14/2018 10:13:55 AM
CLMT Calumet Specialty Products Par Q 12/14/2018 10:15:00 AM
ARDS Aridis Pharmaceuticals Inc. CM R 12/14/2018 10:18:53 AM
APDNW Applied DNA Scien Warrant R 12/14/2018 10:19:25 AM
NXTD Nxt-ID, Inc. Common Stock R 12/14/2018 10:19:28 AM
IFMK iFresh Inc. Cm St R 12/14/2018 10:19:53 AM
KZR Kezar Life Sciences, Inc. Cm Q 12/14/2018 10:28:34 AM
BSRR Sierra Bankcorp Q 12/14/2018 10:30:51 AM
AMRWW Alta Mesa Resources, Inc. Wts R 12/14/2018 10:33:50 AM
MTSL MER Telemanagement Sol R 12/14/2018 10:35:49 AM
DOTA Draper Oakwood Tech Aq Cm A R 12/14/2018 10:39:09 AM
NXTDW Nxt-ID, Inc. Warrant R 12/14/2018 10:47:21 AM
KTOV Kitov Pharma Ltd. ADS R 12/14/2018 10:48:40 AM
SHIPW Seanergy Maritime Holdings Cor R 12/14/2018 10:49:06 AM
APOP Cellect Biotechnology Ltd. ADR R 12/14/2018 10:51:32 AM
CHEK Check-Cap Ltd. Ord R 12/14/2018 10:51:49 AM
DAVE Famous Dave's of America Inc Q 12/14/2018 10:56:50 AM
KOD Kodiak Sciences Inc CS Q 12/14/2018 11:02:22 AM
LMB Limbach Holdings, Inc.CS R 12/14/2018 11:04:21 AM
ENTX Entera Bio Ltd. Ord Shs R 12/14/2018 11:08:05 AM
NMRD Nemaura Medical Inc. Cmn Stk R 12/14/2018 11:08:14 AM
ALRN Aileron Therapeutics, Inc. CS Q 12/14/2018 11:15:53 AM
TWLVR Twelve Seas Investment RT R 12/14/2018 11:16:29 AM
BBGI Beasley Broadcast Group Inc Q 12/14/2018 11:23:34 AM
HOVNP Hovanian Enterprises Inc. Dep. Q 12/14/2018 11:24:30 AM
DFFN Diffusion Pharmaceuticals Inc. R 12/14/2018 11:27:05 AM
TBLT ToughBuilt Ind Common Stock R 12/14/2018 11:30:34 AM
ALACR Alberton Acq Corp Rights R 12/14/2018 11:30:51 AM
YRCW YRC Worldwide Inc Q 12/14/2018 11:34:16 AM
APDN Applied DNA Sciences Cmn R 12/14/2018 11:35:09 AM
TWNKW Hostess Brands, Inc Wts R 12/14/2018 11:36:35 AM
VIRC Virco Manufacturing Corp Q 12/14/2018 11:37:18 AM
OSS One Stop Systems CM R 12/14/2018 11:43:13 AM
EFOI Energy Focus, Inc. Common Stk R 12/14/2018 11:44:16 AM
NOVN Novan, Inc. CM Q 12/14/2018 11:46:13 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 12/14/2018 11:52:17 AM
AXAS Abraxas Petroleum Corporation R 12/14/2018 11:53:30 AM
EYEN Eyenovia, Inc. CM R 12/14/2018 11:53:35 AM
ACRS Aclaris Therapeutics, Inc. Cmn Q 12/14/2018 11:56:09 AM
COCP Cocrystal Pharma, Inc. CM R 12/14/2018 12:08:52 PM
CSPI CSP Inc Q 12/14/2018 12:11:57 PM
DOTAW Draper Oakwood Tech Aq. WT R 12/14/2018 12:13:43 PM
ARVN Arvinas, Inc. CM Q 12/14/2018 12:24:58 PM
LGCY Legacy Reserves Inc. Cmn Stk Q 12/14/2018 12:35:09 PM
FSACW Fed Street Acquisition WRNT R 12/14/2018 12:38:13 PM
APRI Apricus Biosciences, Inc. R 12/14/2018 12:39:14 PM
ASLN ASLAN Pharmaceuticals ADS Q 12/14/2018 12:45:50 PM
CETX Cemtrex Inc. Common Stock R 12/14/2018 12:48:36 PM
AMCN AirMedia Group Inc ADS R 12/14/2018 12:51:21 PM
AKBA Akebia Therapeutics, Inc. Cmn Q 12/14/2018 1:00:47 PM
CYRXW CryoPort, Inc. Warrants R 12/14/2018 1:11:49 PM
SNDE Sundance Energy Australia Limi Q 12/14/2018 1:14:13 PM
FBIOP Fortress Biotech, Inc. Pref A R 12/14/2018 1:14:46 PM
TRIL Trillium Therapeutics Cmn Shs R 12/14/2018 1:22:12 PM
TYME Tyme Technologies, Inc. Cmn R 12/14/2018 1:29:34 PM
NDRAW ENDRA Life Sciences Inc. WT R 12/14/2018 1:29:49 PM
PHII Petroleum Helicopters Inc Q 12/14/2018 1:30:57 PM
GENE Genetic Technologies Ltd ADS R 12/14/2018 1:34:02 PM
FPAYW FlexShopper, Inc. Wt R 12/14/2018 1:40:28 PM
MOGO Mogo Finance Technology CS R 12/14/2018 1:58:28 PM
MTECW MTech Acquisition Corp. WT R 12/14/2018 1:58:44 PM
ESEA Euroseas Ltd. Common Stock R 12/14/2018 2:02:25 PM
SCKT Socket Mobile, Inc. CM ST R 12/14/2018 2:09:45 PM
TKKSW TKK Symphony Acquisition WT R 12/14/2018 2:13:40 PM
ALTM Altus Midstream Co Cl A Cmn R 12/14/2018 2:22:37 PM
OSN Ossen Innovation Co Ltd R 12/14/2018 2:22:39 PM
CYTXZ Cytori Therapeutics Srs S Wts R 12/14/2018 2:27:13 PM
MHLD Maiden Holdings, Ltd. Q 12/14/2018 2:33:26 PM
AVDL Avadel Pharmaceuticals plc Q 12/14/2018 2:33:40 PM
TMCXW Trinity Merger Corp. WTS R 12/14/2018 2:37:35 PM
GVP GSE Systems, Inc. Common Stk R 12/14/2018 2:46:14 PM
CYRX CryoPort, Inc. Cmn Stk R 12/14/2018 2:46:26 PM
ASYS Amtech Systems Inc Q 12/14/2018 2:47:48 PM
GPOR Gulfport Energy Corporation Q 12/14/2018 2:53:36 PM
WMGIZ Wright Medical Group N.V. CVR Q 12/14/2018 2:53:42 PM
ABEOW Abeona Therapeutics Wts R 12/14/2018 2:54:51 PM
RIOT Riot Blockchain, Inc. R 12/14/2018 2:55:24 PM
WHLRW Wheeler REIT Warrants R 12/14/2018 3:00:09 PM
TWMC Trans World Entertainment Cp Q 12/14/2018 3:03:01 PM
CIVB Civista Bancshares, Inc. Cmn R 12/14/2018 3:04:55 PM
VIVE Viveve Medical, Inc. Cm St R 12/14/2018 3:07:28 PM
ALTMW Altus Midstream Co Warrant R 12/14/2018 3:07:37 PM
RUN Sunrun Inc. Common Stock Q 12/14/2018 3:12:06 PM
CYRN CYREN Ltd R 12/14/2018 3:12:52 PM
NXEOW Nexeo Solutions, Inc. Warrant R 12/14/2018 3:14:54 PM
CRZO Carrizo Oil & Gas Inc Q 12/14/2018 3:19:07 PM
MMDMR Modern Media Acquisition RT R 12/14/2018 3:19:15 PM
RELV Reliv' International Inc R 12/14/2018 3:26:42 PM
LONE Lonestar Resources US CM ST A Q 12/14/2018 3:27:44 PM
LENS Presbia PLC Ordinary Shs R 12/14/2018 3:36:29 PM
OMEX Odyssey Marine Exploriation R 12/14/2018 3:36:40 PM
SITO SITO Mobile, Ltd. Cmn Stk R 12/14/2018 3:37:45 PM
SLNO Soleno Therapeutics, Inc. R 12/14/2018 3:41:40 PM
AGRX Agile Therapeutics, Inc. Cmn Q 12/14/2018 3:42:14 PM
AMRH Ameri Holdings, Inc. Cm St R 12/14/2018 3:42:24 PM
SPRO Spero Therapeutics, Inc. CM Q 12/14/2018 3:44:54 PM
ACER Acer Therapeutics Inc. R 12/14/2018 3:54:04 PM
TORC resTORbio, Inc. CM Q 12/14/2018 3:55:34 PM
LWAY Lifeway Foods Inc Q 12/14/2018 3:59:40 PM
AWSM Cool Holdings Inc. Common Stk R 12/14/2018 4:00:00 PM