Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 00162Q353
Over the rolling 12-month window, securities of ALPS ETF TR LEVEL FOUR LARGE C failed to deliver in the NSCC's Continuous Net Settlement system on 128 settlement days, totaling 304,773 fail shares and peaking at 39,860 shares on 2025-12-18. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-09-24 | 34,489 | $47.15 |
| 2026-09-23 | 87 | $47.43 |
| 2026-09-22 | 42,166 | $47.25 |
| 2026-09-16 | 9,649 | $46.24 |
| 2026-09-10 | 316 | $46.00 |
| 2026-09-09 | 189 | $46.34 |
| 2026-09-08 | 145 | $47.05 |
| 2026-09-03 | 26 | $46.69 |
| 2026-09-02 | 1,966 | $46.77 |
| 2026-09-01 | 1,972 | $47.40 |
| 2026-08-31 | 247 | $47.58 |
| 2026-08-28 | 221 | $47.62 |
| 2026-08-26 | 16 | $46.85 |
| 2026-08-21 | 831 | $46.73 |
| 2026-08-20 | 1,446 | $47.13 |
| 2026-08-19 | 4,211 | $46.94 |
| 2026-08-18 | 4,237 | $47.17 |
| 2026-08-14 | 524 | $48.02 |
| 2026-08-13 | 885 | $47.46 |
| 2026-08-12 | 4,689 | $47.59 |
| 2026-08-11 | 4,685 | $47.55 |
| 2026-08-07 | 4,440 | $46.39 |
| 2026-08-06 | 3,060 | $46.43 |
| 2026-08-05 | 3,616 | $46.48 |
| 2026-08-04 | 130 | $45.69 |
| 2026-08-03 | 217 | $44.98 |
| 2026-07-30 | 439 | $43.76 |
| 2026-07-29 | 1,028 | $44.16 |
| 2026-06-30 | 1,117 | $43.13 |
| 2026-06-29 | 22 | $42.63 |
| 2026-06-26 | 1,138 | $42.09 |
| 2026-06-25 | 1,383 | $42.12 |
| 2026-06-24 | 1,184 | $42.02 |
| 2026-06-23 | 1,183 | $42.51 |
| 2026-06-22 | 29 | $43.00 |
| 2026-06-18 | 81 | $42.39 |
| 2026-06-17 | 130 | $43.26 |
| 2026-06-11 | 2,366 | $42.25 |
| 2026-06-10 | 23,533 | $42.75 |
| 2026-06-09 | 21,104 | $42.97 |
| 2026-06-08 | 20,944 | $43.00 |
| 2026-05-15 | 8,403 | $42.30 |
| 2026-05-14 | 8,666 | $42.17 |
| 2026-05-13 | 9,140 | $41.99 |
| 2026-05-07 | 488 | $41.73 |
| 2026-04-17 | 175 | $40.02 |
| 2026-04-16 | 174 | $39.92 |
| 2026-04-15 | 172 | $39.23 |
| 2026-04-13 | 199 | $38.01 |
| 2026-04-10 | 126 | $38.26 |
| 2026-04-07 | 445 | $37.38 |
| 2026-04-06 | 441 | $37.03 |
| 2026-04-01 | 342 | $36.88 |
| 2026-03-31 | 367 | $35.80 |
| 2026-03-30 | 65 | $35.82 |
| 2026-03-26 | 610 | $37.26 |
| 2026-03-25 | 609 | $37.13 |
| 2026-03-24 | 606 | $37.74 |
| 2026-03-20 | 310 | $37.92 |
| 2026-03-19 | 612 | $38.04 |
| 2026-03-18 | 284 | $38.51 |
| 2026-03-11 | 114 | $38.62 |
| 2026-03-10 | 25 | $38.77 |
| 2026-03-09 | 10 | $38.60 |
| 2026-03-06 | 95 | $39.08 |
| 2026-03-05 | 244 | $38.95 |
| 2026-03-04 | 293 | $38.69 |
| 2026-03-03 | 1,076 | $39.04 |
| 2026-03-02 | 733 | $39.03 |
| 2026-02-27 | 979 | $39.31 |
| 2026-02-26 | 552 | $39.33 |
| 2026-02-25 | 138 | $38.86 |
| 2026-02-23 | 556 | $39.16 |
| 2026-02-10 | 6 | $39.57 |
| 2026-02-09 | 6 | $39.49 |
| 2026-02-06 | 124 | $38.85 |
| 2026-02-05 | 7 | $39.61 |
| 2026-01-23 | 415 | $41.63 |
| 2026-01-22 | 191 | $41.23 |
| 2026-01-21 | 192 | $40.78 |
| 2026-01-20 | 191 | $41.61 |
| 2026-01-15 | 141 | $41.48 |
| 2026-01-14 | 732 | $41.92 |
| 2026-01-13 | 22 | $42.27 |
| 2026-01-09 | 6,186 | $42.14 |
| 2026-01-08 | 494 | $42.26 |
| 2026-01-07 | 1,427 | $42.25 |
| 2026-01-06 | 29 | $41.50 |
| 2025-12-30 | 290 | $41.36 |
| 2025-12-29 | 38,018 | $41.40 |
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 00162Q353 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.