Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 00162Q346
Over the rolling 12-month window, securities of ALPS ETF TR ALPS / SMITH CORE failed to deliver in the NSCC's Continuous Net Settlement system on 119 settlement days, totaling 4,182,539 fail shares and peaking at 1,458,370 shares on 2025-10-14. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-10-09 | 1 | $24.60 |
| 2026-10-08 | 2 | $24.51 |
| 2026-10-01 | 115 | $24.54 |
| 2026-09-30 | 115 | $24.56 |
| 2026-09-29 | 296 | $24.60 |
| 2026-09-28 | 10,864 | $24.75 |
| 2026-09-18 | 336,853 | $25.04 |
| 2026-09-16 | 2,511,788 | $25.00 |
| 2026-09-15 | 15,052,243 | $25.02 |
| 2026-09-08 | 1,967 | $25.29 |
| 2026-09-04 | 1,967 | $25.27 |
| 2026-08-24 | 9 | $25.27 |
| 2026-08-20 | 132 | $25.47 |
| 2026-08-07 | 19,869 | $25.40 |
| 2026-08-06 | 20,925 | $25.47 |
| 2026-08-05 | 22,070 | $25.44 |
| 2026-08-04 | 29,784 | $25.35 |
| 2026-07-24 | 21 | $25.31 |
| 2026-07-23 | 21 | $25.36 |
| 2026-07-17 | 148 | $25.50 |
| 2026-07-09 | 4,408 | $25.59 |
| 2026-07-08 | 4,141 | $25.62 |
| 2026-07-07 | 61 | $25.73 |
| 2026-07-06 | 107,758 | $25.73 |
| 2026-06-30 | 1 | $25.84 |
| 2026-06-18 | 1,603 | $25.75 |
| 2026-06-16 | 79 | $25.77 |
| 2026-06-15 | 110 | $25.75 |
| 2026-06-12 | 6,180 | $25.78 |
| 2026-06-05 | 2,980 | $25.74 |
| 2026-06-04 | 3,016 | $25.70 |
| 2026-06-03 | 3,016 | $25.76 |
| 2026-06-02 | 3,596 | $25.74 |
| 2026-05-29 | 50 | $25.73 |
| 2026-05-28 | 50 | $25.68 |
| 2026-05-08 | 4 | $25.79 |
| 2026-05-07 | 507 | $25.86 |
| 2026-05-06 | 507 | $25.75 |
| 2026-05-05 | 533 | $25.69 |
| 2026-05-04 | 529 | $25.75 |
| 2026-04-23 | 228,951 | $25.88 |
| 2026-04-16 | 2,756 | $25.98 |
| 2026-04-13 | 2,274 | $25.88 |
| 2026-04-02 | 92 | $25.78 |
| 2026-03-18 | 7,459 | $25.96 |
| 2026-03-13 | 3,954 | $25.86 |
| 2026-03-05 | 363 | $26.21 |
| 2026-02-13 | 277 | $26.26 |
| 2026-02-12 | 277 | $26.16 |
| 2026-02-09 | 333 | $26.10 |
| 2026-02-06 | 333 | $26.10 |
| 2026-02-02 | 1,009 | $26.02 |
| 2026-01-30 | 1,009 | $26.05 |
| 2026-01-29 | 715 | $26.03 |
| 2026-01-28 | 1,215 | $26.03 |
| 2026-01-22 | 589,689 | $26.07 |
| 2026-01-15 | 2,433 | $26.17 |
| 2026-01-14 | 2,449 | $26.15 |
| 2026-01-13 | 2,469 | $26.12 |
| 2026-01-12 | 2,496 | $26.12 |
| 2026-01-09 | 43 | $26.09 |
| 2026-01-05 | 497 | $26.06 |
| 2026-01-02 | 560 | $26.07 |
| 2025-12-31 | 1,017 | $26.13 |
| 2025-12-26 | 1 | $26.10 |
| 2025-12-19 | 1,152 | $26.10 |
| 2025-12-17 | 30,517 | $26.15 |
| 2025-12-16 | 8,436 | $26.09 |
| 2025-12-15 | 11,042 | $26.07 |
| 2025-12-12 | 633 | $26.16 |
| 2025-12-05 | 1,632 | $26.20 |
| 2025-12-04 | 1,375 | $26.25 |
| 2025-12-03 | 1,573 | $26.20 |
| 2025-12-02 | 2,265 | $26.17 |
| 2025-11-25 | 14,940 | $26.17 |
| 2025-11-24 | 1,892 | $26.13 |
| 2025-11-19 | 75,271 | $26.16 |
| 2025-11-18 | 488 | $26.12 |
| 2025-11-17 | 59,748 | $26.11 |
| 2025-11-14 | 112,724 | $26.16 |
| 2025-11-10 | 8,820 | $26.19 |
| 2025-11-07 | 118,885 | $26.20 |
| 2025-11-06 | 1,857 | $26.11 |
| 2025-11-05 | 27,325 | $26.16 |
| 2025-11-04 | 22,200 | $26.16 |
| 2025-10-31 | 6,831 | $26.22 |
| 2025-10-30 | 12,783 | $26.25 |
| 2025-10-29 | 7,114 | $26.37 |
| 2025-10-28 | 3,207 | $26.37 |
| 2025-10-27 | 2,033 | $26.32 |
Showing 90 most recent of 120.
A "fail-to-deliver" occurs when a party in a securities trade does not deliver the shares by the settlement date. The SEC publishes twice-monthly files of CNS fails-to-deliver by security. This page aggregates the rolling 12-month window. CUSIP 00162Q346 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.