Reg SHO Threshold List

The following are BZX-listed securities that have an aggregate fail to deliver position for five consecutive settlement days at a registered clearing agency, totaling 10,000 shares or more and equal to at least 0.5% of the issuer's total shares outstanding. A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.

Symbol Company Name
ADME Aptus Drawdown Managed Equity ETF
AESR Anfield U.S. Equity Sector Rotation ETF
BAPR Innovator S&P 500 Buffer ETF - April
DFND Reality Shares DIVCON Dividend Defender ETF
DIVB iShares U.S. Dividend and Buyback ETF
EMGF iShares Edge MSCI Multifactor Emerging Markets ETF
EMTL SPDR DoubleLine Emerging Markets Fixed Income ETF
ENOR iShares MSCI Norway ETF
GSEW Goldman Sachs Equal Weight U.S. Large Cap Equity ETF
IGV iShares Expanded Tech-Software Sector ETF
JCPB JPMorgan Core Plus Bond ETF
JMST JPMorgan Ultra-Short Municipal Income ETF
NUDM Nuveen ESG International Developed Markets Equity ETF
OILK ProShares K-1 Free Crude Oil Strategy ETF
PBUS Invesco PureBeta MSCI USA ETF
RSX VanEck Vectors Russia ETF
SMMD iShares Russell 2500 ETF
TCTL Premise Capital Diversified Tactical ETF
UJUL Innovator S&P 500 Ultra Buffer ETF - July
UMAR Innovator S&P 500 Ultra Buffer ETF - March
VFQY Vanguard U.S. Quality Factor ETF
VFVA Vanguard U.S. Value Factor ETF
VXX iPath Series B S&P 500 VIX Short-Term Futures ETN
VXZ iPath Series B S&P 500 VIX Mid-Term Futures ETN