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
Monday, November 12,2018 11/12/2018 4:30:22 PM

Symbol Security Name Market Category Trigger Time
OMER Omeros Corporation Q 11/9/2018 9:30:00 AM
EPAY Bottomline Technologies Inc Q 11/9/2018 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt R 11/9/2018 9:30:00 AM
ICUI ICU Medical Inc Q 11/9/2018 9:30:00 AM
ASUR Asure Software, Inc Cmn R 11/9/2018 9:30:00 AM
PRAA PRA Group, Inc. Common Stk Q 11/9/2018 9:30:00 AM
IIVI II-VI Inc Q 11/9/2018 9:30:00 AM
RTTR Ritter Pharmaceuticals, CM R 11/9/2018 9:30:00 AM
VRAY ViewRay, Inc. Cm St Q 11/9/2018 9:30:00 AM
PTX Pernix Therapeutics Hldgs Cm Q 11/9/2018 9:30:00 AM
PBPB Potbelly Corp Common Stk Q 11/9/2018 9:30:00 AM
NTRA Natera Inc Common Stock Q 11/9/2018 9:30:00 AM
ACET Aceto Corporation Q 11/9/2018 9:30:00 AM
SWIR Sierra Wireless Inc Q 11/9/2018 9:30:00 AM
MPAA Motorcar Parts & Accessories Q 11/9/2018 9:30:00 AM
ATEC Alphatec Holdings Inc Q 11/9/2018 9:30:00 AM
WPRT Westport Fuel Systems Inc Q 11/9/2018 9:30:00 AM
VIVE Viveve Medical, Inc. Cm St R 11/9/2018 9:30:00 AM
UEPS Net 1 UEPS Technologies, Inc. Q 11/9/2018 9:30:00 AM
ATVI Activision Blizzard Inc Q 11/9/2018 9:30:00 AM
NBEV New Age Beverages Cmn R 11/9/2018 9:30:00 AM
IMI Intermolecular, Inc. Q 11/9/2018 9:30:00 AM
FNKO Funko, Inc. Cl A Cmn Q 11/9/2018 9:30:00 AM
INWK InnerWorkings Inc Q 11/9/2018 9:30:00 AM
CVCO Cavco Industries, Inc. Q 11/9/2018 9:30:00 AM
APEN Apollo Endosurgery, Inc. Cmn Q 11/9/2018 9:30:00 AM
ACRX AcelRx Pharmaceuticals, Inc. Q 11/9/2018 9:30:01 AM
CYHHZ Community Health Systems, Inc. Q 11/9/2018 9:30:01 AM
FLMN Falcon Minerals Cl A Cmn R 11/9/2018 9:30:03 AM
STML Stemline Therapeutics Inc R 11/9/2018 9:30:05 AM
TRS TriMas Corporation Cmn Stk Q 11/9/2018 9:30:05 AM
PRIM Primoris Services Corporation Q 11/9/2018 9:30:07 AM
SYNH Syneos Health, Inc. Cl A Cmn Q 11/9/2018 9:30:07 AM
BCOR Blucora, Inc. Common Stock Q 11/9/2018 9:30:09 AM
COLL Collegium Pharmaceutical Cmn Q 11/9/2018 9:30:39 AM
ICON Iconix Brand Group, Inc. Q 11/9/2018 9:31:06 AM
KNDI Kandi Technologies Group Cmn Q 11/9/2018 9:31:18 AM
IPDN Professional Diversity Network R 11/9/2018 9:31:22 AM
RGLS Regulus Therapeutics Inc. Q 11/9/2018 9:31:24 AM
HTGM HTG Molecular Diagnostics Cmn R 11/9/2018 9:31:35 AM
MGI MoneyGram Intl Common Stock Q 11/9/2018 9:31:38 AM
ROSE Rosehill Resources Inc Cl A Cm R 11/9/2018 9:31:46 AM
AVCO Avalon GloboCare Corp. Cmn Stk R 11/9/2018 9:32:02 AM
SGMO Sangamo Therapeutics, Inc. Q 11/9/2018 9:32:04 AM
MCFT MCBC Holdings, Inc. Cmn Q 11/9/2018 9:32:12 AM
LOGC LogicBio Therapeutics Cmn Q 11/9/2018 9:32:29 AM
XON Intrexon Corporation Q 11/9/2018 9:33:27 AM
REFR Research Frontiers Inc R 11/9/2018 9:33:46 AM
CEMI Chembio Diagnostics, Inc. Cmn R 11/9/2018 9:34:01 AM
MARK Remark Hldgs Inc. Cmn Stk R 11/9/2018 9:34:15 AM
DOVA Dova Pharmaceuticals, Inc. CM Q 11/9/2018 9:34:16 AM
LENS Presbia PLC Ordinary Shs R 11/9/2018 9:35:30 AM
CIFS China Internet Nationwid Or Sh Q 11/9/2018 9:35:51 AM
MPVD Mountain Province Diamd Cmn Q 11/9/2018 9:35:52 AM
SNOAW Sonoma Pharma Wts R 11/9/2018 9:36:09 AM
AYTU Aytu BioScience, Inc. R 11/9/2018 9:36:38 AM
SPTN SpartanNash Company Q 11/9/2018 9:37:13 AM
LPSN LivePerson Inc Q 11/9/2018 9:39:09 AM
BHTG BioHiTech Global, Inc. CS R 11/9/2018 9:39:48 AM
LOPE Grand Canyon Education, Inc. Q 11/9/2018 9:39:50 AM
KONA Kona Grill Inc Q 11/9/2018 9:40:29 AM
VXRT Vaxart, Inc. R 11/9/2018 9:40:29 AM
USAT USA Technologies Cmn Stk Q 11/9/2018 9:40:40 AM
RLM Realm Therapeutics plc ADS R 11/9/2018 9:40:55 AM
GDEN Golden Entertainment Inc Q 11/9/2018 9:41:36 AM
BLPH Bellerophon Thera Common Stock Q 11/9/2018 9:41:39 AM
TERP TerraForm Power Class A NEW Q 11/9/2018 9:42:14 AM
CCXI ChemoCentryx, Inc. Q 11/9/2018 9:42:39 AM
SGYP Synergy Pharmaceuticals, Inc. Q 11/9/2018 9:43:01 AM
AGMH AGM Group Holdings Cl A Ord R 11/9/2018 9:43:46 AM
AMRHW Ameri Holdings, Inc. Wt R 11/9/2018 9:43:59 AM
CHRS Coherus BioSciences, Inc Cm Q 11/9/2018 9:46:13 AM
HYRE HyreCar Inc. Cm St R 11/9/2018 9:46:29 AM
OSTK Overstock.com, Inc. Q 11/9/2018 9:46:58 AM
FWP Forward Pharma A/S ADS Q 11/9/2018 9:47:31 AM
PFSW PFSweb Inc R 11/9/2018 9:49:05 AM
AUTL Autolus Therapeutics plc ADS Q 11/9/2018 9:53:49 AM
SYNC Synacor, Inc. Q 11/9/2018 9:55:33 AM
ESTRW Estre Ambiental, Inc. Q 11/9/2018 9:56:38 AM
FOSL Fossil Group, Inc. Common Stk Q 11/9/2018 9:56:40 AM
VRCA Verrica Pharmaceuticals COM Q 11/9/2018 9:58:21 AM
ANAB AnaptysBio, Inc. COM Q 11/9/2018 9:58:32 AM
ALLK Allakos Inc. Q 11/9/2018 9:59:10 AM
KZIA Kazia Therapeutics Limited ADS R 11/9/2018 9:59:18 AM
WWR Westwater Resources, Inc. R 11/9/2018 10:02:52 AM
SGMS Scientific Games Corp Cmn Stk Q 11/9/2018 10:03:54 AM
TLRY Tilray, Inc. Class 2 Q 11/9/2018 10:04:51 AM
ADRO Aduro Biotech, Inc. Cmn Q 11/9/2018 10:04:58 AM
GTXI GTx, Inc R 11/9/2018 10:06:32 AM
ABIO ARCA BIOPHARMA, INC. R 11/9/2018 10:09:20 AM
AKAO Achaogen, Inc. Common Stock Q 11/9/2018 10:09:35 AM
VLRX Valeritas Holdings, Inc. CS R 11/9/2018 10:10:27 AM
NTWK NetSol International Inc R 11/9/2018 10:11:02 AM
AKTS Akoustis Tecnologies Cmn Stk R 11/9/2018 10:11:23 AM
RNET RigNet, Inc. Q 11/9/2018 10:11:33 AM
ABIL Ability Inc. R 11/9/2018 10:12:46 AM
ALOT AstroNova, Inc. Q 11/9/2018 10:12:56 AM
XBIO Xenetic Biosciences Cmn R 11/9/2018 10:13:23 AM
NTGN Neon Therapeutics, Inc. Cmn Q 11/9/2018 10:16:08 AM
YRCW YRC Worldwide Inc Q 11/9/2018 10:19:01 AM
ABUS Arbutus Biopharma Cp Cmn Stk Q 11/9/2018 10:19:27 AM
OPRA Opera Limited ADS Q 11/9/2018 10:19:46 AM
SOLOW Electrameccanica Vehicles Wts R 11/9/2018 10:21:17 AM
JAGX Jaguar Health, Inc. Cmn R 11/9/2018 10:21:17 AM
NK NantKwest, Inc. CS Q 11/9/2018 10:21:41 AM
SCACW Saban Capital Acquisition WT R 11/9/2018 10:23:12 AM
SUMR Summer Infant Inc. Cmn Stk R 11/9/2018 10:25:56 AM
APLS Apellis Pharma Inc Cmn Stk Q 11/9/2018 10:30:54 AM
MBOT Microbot Medical Inc R 11/9/2018 10:36:06 AM
LCAHW Landcadia Holdings, Inc. Wt R 11/9/2018 10:36:56 AM
STRA Strategic Education, Inc. Q 11/9/2018 10:38:25 AM
FFHL Fuwei Films (Holdings) Co R 11/9/2018 10:42:53 AM
WRLSR Pensare Acquisition Corp Right R 11/9/2018 10:47:05 AM
JMU JMU Limited ADS Q 11/9/2018 10:47:49 AM
RXII RXi Pharmaceuticals Corp R 11/9/2018 10:49:30 AM
SUNW Sunworks, Inc. COM R 11/9/2018 10:50:12 AM
VBIV VBI Vaccines, Inc. Cm Stk R 11/9/2018 10:55:00 AM
BZUN Baozun Inc. ADS Q 11/9/2018 10:55:23 AM
NESRW National Energy SV Reunited WT R 11/9/2018 11:03:30 AM
CYTXZ Cytori Therapeutics Srs S Wts R 11/9/2018 11:05:17 AM
CLMT Calumet Specialty Products Par Q 11/9/2018 11:11:14 AM
CHEKW Check-Cap Ltd. Srs A Wt R 11/9/2018 11:15:34 AM
HAIR Restoration Robotics, Inc. CM Q 11/9/2018 11:15:43 AM
HIMX Himax Technologies, Inc. ADSs Q 11/9/2018 11:18:36 AM
CHCI Comstock Holding Cos., Inc. R 11/9/2018 11:18:54 AM
ARWR Arrowhead Pharmaceuticals Inc. Q 11/9/2018 11:19:48 AM
RDIB Reading Intl Cl B Cmn R 11/9/2018 11:24:38 AM
XELA Exela Tech Inc R 11/9/2018 11:28:03 AM
TYHT Shineco Inc Common Stock R 11/9/2018 11:29:04 AM
WHLRW Wheeler REIT Warrants R 11/9/2018 11:32:17 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 11/9/2018 11:33:36 AM
MICT MICT, Inc. Common Stock R 11/9/2018 11:33:47 AM
VECO Veeco Instruments Inc Q 11/9/2018 11:35:18 AM
CLBS Caladrius Biosciences, Inc. R 11/9/2018 11:35:31 AM
SMTX SMTC Corporation Q 11/9/2018 11:38:48 AM
ATIS Attis Industries Inc. Cmn Stk R 11/9/2018 11:39:16 AM
GROW U.S. Global Investors Inc R 11/9/2018 11:41:55 AM
HDP Hortonworks, Inc. Cmn Q 11/9/2018 11:48:28 AM
GSUM Gridsum Holding Inc. ADS Q 11/9/2018 11:51:17 AM
BLCM Bellicum Pharmaceuticals Comm Q 11/9/2018 11:53:13 AM
WRLSW Pensare Acquisition Corp WT R 11/9/2018 12:01:18 PM
OPK OPKO Health, Inc. Cmn Stk Q 11/9/2018 12:01:19 PM
AVEO AVEO Pharmaceuticals, Inc. R 11/9/2018 12:05:06 PM
ALRN Aileron Therapeutics, Inc. CS Q 11/9/2018 12:11:27 PM
CLIRW ClearSign Combustion Cp Wrt R 11/9/2018 12:13:11 PM
ZYNE Zynerba Pharmaceuticals CS Q 11/9/2018 12:15:11 PM
JCTCF Jewett-Cameron Trading Company R 11/9/2018 12:21:10 PM
ALLO Allogene Therapeutics Cm St Q 11/9/2018 12:30:33 PM
ICAD iCAD, Inc. Common Stock R 11/9/2018 12:32:29 PM
RDNT RadNet Inc Q 11/9/2018 12:37:30 PM
DRIOW DarioHealth Corp. Wts R 11/9/2018 12:51:09 PM
RIBTW RiceBran Technologies Warrant R 11/9/2018 12:51:35 PM
VKTX Viking Therapeutics Inc Cmn R 11/9/2018 12:54:19 PM
NEON Neonode Inc. R 11/9/2018 12:56:33 PM
ASMB Assembly Biosciences, Inc. R 11/9/2018 1:03:03 PM
VKTXW Viking Therapeutics, Inc. WTS R 11/9/2018 1:05:53 PM
RUBY Rubius Therapeutics Cm St Q 11/9/2018 1:07:49 PM
IAMXR I-AM Capital Acquisition Co Rt R 11/9/2018 1:07:55 PM
TENB Tenable Holdings, Inc. CM Q 11/9/2018 1:14:45 PM
MXWL Maxwell Technologies Q 11/9/2018 1:16:08 PM
QTRH Quarterhill Inc. Common Shares Q 11/9/2018 1:17:03 PM
PRQR ProQR Therapeutics N.V. Ord Q 11/9/2018 1:19:52 PM
CLNE Clean Energy Fuels Corp. Q 11/9/2018 1:20:53 PM
ZKIN ZK Intnl Grp Co Ltd Ord Sh R 11/9/2018 1:21:55 PM
MDB MongoDB, Inc. Class A Cmn Stk Q 11/9/2018 1:22:20 PM
TORC resTORbio, Inc. CM Q 11/9/2018 1:24:35 PM
CORV Correvio Pharma Corp. R 11/9/2018 1:28:27 PM
AMRS Amyris, Inc. Q 11/9/2018 1:35:22 PM
CEVA CEVA Inc Q 11/9/2018 1:37:59 PM
SCWX SecureWorks Corp. Class A CS Q 11/9/2018 1:50:27 PM
GLMD Galmed Pharmaceuticals Ltd R 11/9/2018 1:50:49 PM
COUP Coupa Software Inc Cmn Q 11/9/2018 1:53:54 PM
CXDC China XD Plastics Company Ltd Q 11/9/2018 1:55:43 PM
EDNT Edison Nation, Inc. Cm St R 11/9/2018 1:56:26 PM
DSKEW Daseke, Inc. Warrant R 11/9/2018 2:07:19 PM
PRTK Paratek Pharmaceuticals, Inc. Q 11/9/2018 2:10:59 PM
CDNA CareDx, Inc. Cmn Q 11/9/2018 2:11:18 PM
SNGX Soligenix, Inc. R 11/9/2018 2:11:48 PM
SEED Origin Agritech Limited Q 11/9/2018 2:20:55 PM
UROV Urovant Sciences Ltd. CM Q 11/9/2018 2:22:17 PM
ATXI Avenue Therapeutics, Inc. CM R 11/9/2018 2:26:51 PM
RDUS Radius Health, Inc. Cmn Stk Q 11/9/2018 2:27:07 PM
DERM Dermira, Inc. Common Stock Q 11/9/2018 2:30:31 PM
IAM I-AM Capital Acquisition Cm St R 11/9/2018 2:32:28 PM
IEAWW Infrastructure & Enrgy Alt Wt R 11/9/2018 2:33:41 PM
SAEX SAExploration Hldgs R 11/9/2018 2:38:15 PM
RMNI Rimini Street, Inc. Q 11/9/2018 2:42:37 PM
CBIO Catalyst Biosciences, Inc. R 11/9/2018 2:42:44 PM
MTEM Molecular Templates, Inc. R 11/9/2018 2:44:08 PM
DFFN Diffusion Pharmaceuticals Inc. R 11/9/2018 2:44:33 PM
HUNTW Hunter Maritime Acquisition W R 11/9/2018 2:56:30 PM
AMEH Apollo Medical Holdings Cmn R 11/9/2018 2:59:33 PM
FONR Fonar Corporation R 11/9/2018 3:04:42 PM
EQ Equillium, Inc. Common Stock Q 11/9/2018 3:04:50 PM
MNTA Momenta Pharmaceuticals Inc Q 11/9/2018 3:07:07 PM
SNOA Sonoma Pharmaceuticals R 11/9/2018 3:09:51 PM
JSYNW Jensyn Acquistion Corp. WT R 11/9/2018 3:24:56 PM
ASV ASV Holdings, Inc. CM R 11/9/2018 3:26:55 PM
YI 111, Inc. American Dep Shs Q 11/9/2018 3:29:36 PM
ALBO Albireo Pharma, Inc. R 11/9/2018 3:31:51 PM
TNXP Tonix Pharma Hldg Cmn Stk Q 11/9/2018 3:35:57 PM
CSPI CSP Inc Q 11/9/2018 3:39:39 PM
CATS Catasys, Inc. Common Stock R 11/9/2018 3:43:16 PM
TSRO TESARO, Inc. Q 11/9/2018 3:47:50 PM
NVUS Novus Therapeutics, Inc. R 11/9/2018 3:48:23 PM
TWMC Trans World Entertainment Cp Q 11/9/2018 3:49:27 PM
PLSE Pulse Biosciences, Inc CS R 11/9/2018 3:50:20 PM
TRCH Torchlight Energy Rsrc Cmn R 11/9/2018 3:50:52 PM
NCTY The9 Ltd ADS R 11/9/2018 3:51:51 PM
BOXL Boxlight Corp Class A Cmn R 11/9/2018 3:52:42 PM
CFRX Contrafect Corp Common R 11/9/2018 3:53:24 PM
MMDMW Modern Media Acquisition WRT R 11/9/2018 3:53:35 PM
AEYE AudioEye, Inc. CM ST R 11/9/2018 3:54:56 PM
ELGX Endologix, Inc. Q 11/9/2018 3:55:25 PM
EVLO Evelo Biosciences, Inc. CS Q 11/9/2018 3:56:40 PM
IRIX IRIDEX Corporation Q 11/9/2018 3:59:31 PM
AVGR Avinger, Inc. R 11/9/2018 3:59:49 PM
AAME Atlantic American Corporation Q 11/9/2018 4:00:00 PM
ADMP Adamis Pharmaceuticals Inc R 11/12/2018 9:30:00 AM
CRUS Cirrus Logic Inc Q 11/12/2018 9:30:00 AM
INFI Infinity Pharmaceuticals, Inc. Q 11/12/2018 9:30:00 AM
BZUN Baozun Inc. ADS Q 11/12/2018 9:30:00 AM
NESRW National Energy SV Reunited WT R 11/12/2018 9:30:00 AM
HDSN Hudson Technologies R 11/12/2018 9:30:00 AM
MESO Mesoblast Limited ADS Q 11/12/2018 9:30:00 AM
NXTDW Nxt-ID, Inc. Warrant R 11/12/2018 9:30:00 AM
LITE Lumentum Hlds Common Stk Q 11/12/2018 9:30:00 AM
MRIN Marin Software Inc Common Stk Q 11/12/2018 9:30:00 AM
CYTXW Cytori Therapeutics Inc WT R 11/12/2018 9:30:00 AM
MHLD Maiden Holdings, Ltd. Q 11/12/2018 9:30:00 AM
MPVD Mountain Province Diamd Cmn Q 11/12/2018 9:30:06 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 11/12/2018 9:30:11 AM
PHII Petroleum Helicopters Inc Q 11/12/2018 9:30:38 AM
SG Sirius International In Gp Cm Q 11/12/2018 9:30:48 AM
RXII RXi Pharmaceuticals Corp R 11/12/2018 9:31:13 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 11/12/2018 9:31:25 AM
LENS Presbia PLC Ordinary Shs R 11/12/2018 9:31:56 AM
PTX Pernix Therapeutics Hldgs Cm Q 11/12/2018 9:32:40 AM
SND Smart Sand, Inc. Cmn Stk Q 11/12/2018 9:32:41 AM
DTRM Determine, Inc. R 11/12/2018 9:32:58 AM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 11/12/2018 9:33:32 AM
NVLN Novelion Therapeutics Inc Q 11/12/2018 9:33:43 AM
QTT Qutoutiao Inc. ADS Q 11/12/2018 9:34:45 AM
SLS SELLAS Life Sciences Gp Cmn R 11/12/2018 9:35:45 AM
NCSM NCS Multistage Holdings CM Q 11/12/2018 9:36:28 AM
AMRN Amarin Corporation PLC ADS Q 11/12/2018 9:37:07 AM
OCLR Oclaro, Inc Q 11/12/2018 9:37:50 AM
AGMH AGM Group Holdings Cl A Ord R 11/12/2018 9:38:05 AM
ABMD ABIOMED Inc Q 11/12/2018 9:38:06 AM
LQDA Liquidia Technologies, Inc Cmn R 11/12/2018 9:39:04 AM
GILT Gilat Satellite Networks Ltd Q 11/12/2018 9:45:01 AM
DCIX Diana Containerships Inc. Q 11/12/2018 9:45:41 AM
IMMP Immutep Limited Q 11/12/2018 9:45:59 AM
ABEOW Abeona Therapeutics Wts R 11/12/2018 9:46:42 AM
TWST Twist Bioscience Corp Cmn Stk Q 11/12/2018 9:48:17 AM
AUTL Autolus Therapeutics plc ADS Q 11/12/2018 9:49:28 AM
ABEO Abeona Therapeutics Inc. R 11/12/2018 9:49:51 AM
AMRWW Alta Mesa Resources, Inc. Wts R 11/12/2018 9:50:10 AM
ENT Global Eagle Entmnt R 11/12/2018 9:50:28 AM
PXS Pyxis Tankers Inc Common Stk R 11/12/2018 9:50:55 AM
IMTE Integrated Media Tech ORDS R 11/12/2018 9:51:20 AM
RTTR Ritter Pharmaceuticals, CM R 11/12/2018 9:52:57 AM
DLPNW Dolphin Entertainment, WTS R 11/12/2018 9:53:20 AM
OLED Universal Display Corporation Q 11/12/2018 9:53:50 AM
AAOI Applied Optoelectronics Cmn Q 11/12/2018 9:55:28 AM
SGMO Sangamo Therapeutics, Inc. Q 11/12/2018 9:56:21 AM
SRNE Sorrento Therapeutics Cmn R 11/12/2018 9:57:17 AM
AWSM Cool Holdings Inc. Common Stk R 11/12/2018 9:59:28 AM
KBLMW KBL Merger Corp. IV WTS R 11/12/2018 9:59:30 AM
VSTM Verastem, Inc. Q 11/12/2018 10:00:07 AM
PENN Penn National Gaming, Inc. Q 11/12/2018 10:00:38 AM
IIVI II-VI Inc Q 11/12/2018 10:00:43 AM
TRIL Trillium Therapeutics Cmn Shs R 11/12/2018 10:00:55 AM
DARE Dare Bioscience, Inc. R 11/12/2018 10:01:24 AM
WWR Westwater Resources, Inc. R 11/12/2018 10:03:14 AM
NAUH National American Univrsty Hld Q 11/12/2018 10:03:42 AM
TTD The Trade Desk, Inc. Cl A Q 11/12/2018 10:03:55 AM
VCYT Veracyte Inc Q 11/12/2018 10:04:04 AM
LMFA LM Funding America Cmn Stk R 11/12/2018 10:04:32 AM
MGEN Miragen Therapeutics Inc R 11/12/2018 10:05:20 AM
ALRN Aileron Therapeutics, Inc. CS Q 11/12/2018 10:07:10 AM
GTIM Good Times Restaurants R 11/12/2018 10:07:21 AM
SSLJ SSLJ.com Limited Cl A Ord Sh R 11/12/2018 10:07:45 AM
NK NantKwest, Inc. CS Q 11/12/2018 10:09:03 AM
TRUP Trupanion, Inc. Cmn Stk Q 11/12/2018 10:10:18 AM
AKAO Achaogen, Inc. Common Stock Q 11/12/2018 10:10:21 AM
LALT Invesco Multi-Strat Alt ETF Q 11/12/2018 10:13:01 AM
ARWR Arrowhead Pharmaceuticals Inc. Q 11/12/2018 10:14:06 AM
ECOR electroCore, Inc. Common Stk Q 11/12/2018 10:16:52 AM
MARK Remark Hldgs Inc. Cmn Stk R 11/12/2018 10:18:31 AM
HYACW Haymaker Acquisition Corp. WT R 11/12/2018 10:21:01 AM
ADIL Adial Pharmaceuticals, Inc. Cm R 11/12/2018 10:22:07 AM
BHTG BioHiTech Global, Inc. CS R 11/12/2018 10:22:13 AM
EQ Equillium, Inc. Common Stock Q 11/12/2018 10:26:59 AM
LCAHW Landcadia Holdings, Inc. Wt R 11/12/2018 10:34:11 AM
RYTM Rhythm Pharmaceuticals CM Q 11/12/2018 10:34:25 AM
URGN UroGen Pharma Ltd. Ord Shs Q 11/12/2018 10:36:16 AM
ALTMW Altus Midstream Co Warrant R 11/12/2018 10:36:38 AM
AIMT Aimmune Therapeutics, Inc. Cmn Q 11/12/2018 10:37:18 AM
KMPH KemPharm, Inc. Cmn Q 11/12/2018 10:38:14 AM
SITO SITO Mobile, Ltd. Cmn Stk R 11/12/2018 10:39:11 AM
GRTS Gritstone Oncology, Inc. CM Q 11/12/2018 10:41:51 AM
RGLS Regulus Therapeutics Inc. Q 11/12/2018 10:43:19 AM
RIOT Riot Blockchain, Inc. R 11/12/2018 10:46:12 AM
FSACW Fed Street Acquisition WRNT R 11/12/2018 10:51:38 AM
CNCE Concert Pharmaceuticals, Inc. Q 11/12/2018 10:56:56 AM
VRML Vermillion, Inc. R 11/12/2018 10:59:12 AM
BLFS BioLife Solutions Inc Cmn Stk R 11/12/2018 10:59:48 AM
ALT Altimmune, Inc. Q 11/12/2018 10:59:54 AM
IIN IntriCon Corporation Q 11/12/2018 11:00:18 AM
ASNS Arsanis, Inc. CM Q 11/12/2018 11:00:40 AM
TRHC Tabula Rasa Health Care CM Q 11/12/2018 11:01:44 AM
CUR Neuralstem, Inc. R 11/12/2018 11:02:04 AM
ATISW Attis Industries Inc. Wts R 11/12/2018 11:02:16 AM
TNDM Tandem Diabetes Care, Inc. Q 11/12/2018 11:02:27 AM
NDRAW ENDRA Life Sciences Inc. WT R 11/12/2018 11:04:18 AM
CLVS Clovis Oncology, Inc. Q 11/12/2018 11:07:47 AM
ONTX Onconova Therapeutics Inc R 11/12/2018 11:07:57 AM
UPLD Upland Software, Inc. Q 11/12/2018 11:10:02 AM
HSGX Histogenics Corp Cmn Stk R 11/12/2018 11:11:21 AM
AMD Advanced Micro Devices Cmn Stk Q 11/12/2018 11:14:17 AM
FTD FTD Companies Inc Q 11/12/2018 11:14:24 AM
TOPS TOP Ships Inc R 11/12/2018 11:15:20 AM
STNE StoneCo Ltd. Cl A Cmn Shs Q 11/12/2018 11:15:39 AM
HEAR Turtle Beach Corp Cmn stk Q 11/12/2018 11:16:32 AM
JNCE Jounce Therapeutics, Inc. CM Q 11/12/2018 11:17:06 AM
DXYN The Dixie Group Inc Q 11/12/2018 11:19:41 AM
CSBR Champions Oncology Cm St R 11/12/2018 11:20:55 AM
NNDM Nano Dimension Ltd ADS R 11/12/2018 11:23:46 AM
CUE Cue Biopharma, Inc. CM R 11/12/2018 11:25:48 AM
OKTA Okta, Inc. Class A Cmn Stock Q 11/12/2018 11:30:04 AM
XOG Extraction Oil & Gas CM Q 11/12/2018 11:30:12 AM
ZIOP ZIOPHARM Oncology Inc R 11/12/2018 11:32:01 AM
NTGN Neon Therapeutics, Inc. Cmn Q 11/12/2018 11:32:42 AM
COHR Coherent Inc Q 11/12/2018 11:33:25 AM
BLIN Bridgeline Digital, Inc. R 11/12/2018 11:36:53 AM
CYTR CytRx Corporation R 11/12/2018 11:40:22 AM
WHLM Wilhelmina Intl Cmn Stk R 11/12/2018 11:46:49 AM
TBIO Translate Bio, Inc. Cmn Stk Q 11/12/2018 11:48:27 AM
KNSA Kiniksa Pharma Ltd. Cl A Cmn Q 11/12/2018 11:49:26 AM
CYHHZ Community Health Systems, Inc. Q 11/12/2018 11:50:20 AM
AKBA Akebia Therapeutics, Inc. Cmn Q 11/12/2018 11:50:23 AM
NVTR Nuvectra Corp Cm Stk Q 11/12/2018 11:52:16 AM
MMDMR Modern Media Acquisition RT R 11/12/2018 11:53:07 AM
CCNI Command Center, Inc. Cmn Stk R 11/12/2018 11:53:31 AM
TZACW Tenzing Acquisition Corp. Wts R 11/12/2018 11:54:01 AM
ARVN Arvinas, Inc. CM Q 11/12/2018 11:54:11 AM
JG Aurora Mobile Limited ADS Q 11/12/2018 11:56:49 AM
PRVB Provention Bio, Inc. Cm St R 11/12/2018 11:59:53 AM
IAM I-AM Capital Acquisition Cm St R 11/12/2018 12:02:28 PM
OHGI One Horizon Group Common Stk R 11/12/2018 12:03:23 PM
IEAWW Infrastructure & Enrgy Alt Wt R 11/12/2018 12:13:23 PM
FPAYW FlexShopper, Inc. Wt R 11/12/2018 12:13:38 PM
MGI MoneyGram Intl Common Stock Q 11/12/2018 12:29:37 PM
APTO Aptose Biosciences, Inc. Cmn R 11/12/2018 12:32:52 PM
ONSIW Oncobiologics, Inc. Ser A Wt R 11/12/2018 12:45:06 PM
MBIO Mustang Bio, Inc. CM Q 11/12/2018 12:52:41 PM
PGLC Pershing Gold Corp Cmn Stk Q 11/12/2018 12:52:43 PM
SVRA Savara Inc. Common Stock Q 11/12/2018 12:53:32 PM
VRAY ViewRay, Inc. Cm St Q 11/12/2018 12:53:40 PM
GTHX G1 Therapeutics, Inc. CM Q 11/12/2018 12:54:26 PM
CTMX CytomX Therapeutics, Inc. CS Q 11/12/2018 1:08:42 PM
UBIO ProShares UltraPro NQ Biotec Q 11/12/2018 1:17:59 PM
EYESW Second Sight Mdl Products Wt R 11/12/2018 1:18:59 PM
KOPN Kopin Corp Q 11/12/2018 1:20:16 PM
NITE Nightstar Therapeutics plc ADS Q 11/12/2018 1:21:13 PM
EVGN Evogene Ltd Ordinary Shares Q 11/12/2018 1:26:00 PM
LOGC LogicBio Therapeutics Cmn Q 11/12/2018 1:26:46 PM
SGOC SGOCO Group, Ltd Ord Shr R 11/12/2018 1:27:10 PM
VICR Vicor Corp Q 11/12/2018 1:29:25 PM
DSWL Deswell Industries, Inc. Q 11/12/2018 1:37:19 PM
NVCR NovoCure Limited Ord Shs Q 11/12/2018 1:46:03 PM
NTLA Intellia Therapeutics, Inc. CS Q 11/12/2018 1:46:23 PM
KERX Keryx Biopharmaceuticals Inc R 11/12/2018 1:46:23 PM
DRNA Dicerna Pharmaceuticals Inc Q 11/12/2018 1:46:34 PM
STIM Neuronetics, Inc. Common Stock Q 11/12/2018 1:48:47 PM
ALLO Allogene Therapeutics Cm St Q 11/12/2018 1:51:45 PM
CXDC China XD Plastics Company Ltd Q 11/12/2018 1:52:14 PM
INNT Innovate Biopharma Cmn R 11/12/2018 2:05:08 PM
MUDSW Mudrick Capital Acquisition WT R 11/12/2018 2:22:53 PM
BCACW Bison Cap Acquistion Corp Wt R 11/12/2018 2:27:18 PM
KALA Kala Pharmaceuticals, Inc. Cmn Q 11/12/2018 2:30:18 PM
CNAT Conatus Pharmaceuticals Inc Q 11/12/2018 2:33:29 PM
NERV Minerva Neurosciences Cmn Q 11/12/2018 2:39:27 PM
IOTS Adesto Tech Corp Cmn Stk R 11/12/2018 2:41:43 PM
CFMS Conformis, Inc. CS Q 11/12/2018 2:46:43 PM
VIAV Viavi Solutions Inc. Cmn Stk Q 11/12/2018 2:50:38 PM
RSLS ReShape Lifesciences Inc. R 11/12/2018 2:52:24 PM
PDCE PDC Energy, Inc. Q 11/12/2018 3:02:54 PM
CKPT Checkpoint Therapeutics, CS R 11/12/2018 3:03:10 PM
CHCI Comstock Holding Cos., Inc. R 11/12/2018 3:07:40 PM
SBBP Strongbridge Biopharma plc ORD Q 11/12/2018 3:10:11 PM
OSS One Stop Systems CM R 11/12/2018 3:13:00 PM
SHIPW Seanergy Maritime Holdings Cor R 11/12/2018 3:16:15 PM
XENE Xenon Pharmaceuticals Cm Sh Q 11/12/2018 3:17:57 PM
EYEN Eyenovia, Inc. CM R 11/12/2018 3:19:25 PM
CGIX Cancer Genetics, Inc. R 11/12/2018 3:27:53 PM
KBLMR KBL Merger Corp. IV RTS R 11/12/2018 3:28:10 PM
RESN Resonant Inc. Cmn Stk R 11/12/2018 3:32:41 PM
TOCA Tocagen Inc. Common Stock Q 11/12/2018 3:33:12 PM
AGRX Agile Therapeutics, Inc. Cmn Q 11/12/2018 3:33:13 PM
ERI Eldorado Resorts, Inc. Cmn Q 11/12/2018 3:33:19 PM
VRNA Verona Pharma plc ADS Q 11/12/2018 3:35:03 PM
SSTI ShotSpotter, Inc. CM R 11/12/2018 3:36:59 PM
AXSM Axsome Therapeutics, Inc. CS Q 11/12/2018 3:37:27 PM
CBAY CymaBay Therapeutics Cmn Stk Q 11/12/2018 3:39:39 PM
DRYS DryShips Inc. R 11/12/2018 3:40:16 PM
ANY Sphere 3D Corp. R 11/12/2018 3:41:15 PM
CYTXZ Cytori Therapeutics Srs S Wts R 11/12/2018 3:42:12 PM
ALYA Alithya Group inc. A Sub Vt Sh R 11/12/2018 3:45:14 PM
RMTI Rockwell Medical, Inc. Q 11/12/2018 3:49:55 PM
TRMT Tremont Mortgage Trust CM SH R 11/12/2018 3:55:02 PM
AGFS AgroFresh Solutions, Inc. Q 11/12/2018 3:55:15 PM
MRNS Marinus Pharmaceuticals CS Q 11/12/2018 3:55:53 PM
LOOP Loop Industries, Inc. Cm St Q 11/12/2018 3:56:13 PM
APDNW Applied DNA Scien Warrant R 11/12/2018 3:57:29 PM
BKYI BIO-key International Cm St R 11/12/2018 3:58:12 PM
BRQS Borqs Tech Inc Ord Shs R 11/12/2018 3:59:50 PM
ZEAL Zealand Pharma ADS Q 11/12/2018 4:00:00 PM