Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 00162Q395
Over the rolling 12-month window, securities of ALPS ETF TR OSHARES U S SMALL failed to deliver in the NSCC's Continuous Net Settlement system on 89 settlement days, totaling 431,264 fail shares and peaking at 89,977 shares on 2025-11-18. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-09-18 | 497 | $47.28 |
| 2026-09-04 | 4 | $49.16 |
| 2026-08-25 | 47 | $49.95 |
| 2026-07-08 | 1 | $47.45 |
| 2026-07-07 | 199 | $47.68 |
| 2026-06-26 | 16 | $47.35 |
| 2026-06-17 | 12 | $47.21 |
| 2026-06-15 | 444 | $47.01 |
| 2026-05-20 | 28 | $45.52 |
| 2026-05-11 | 13 | $46.83 |
| 2026-05-08 | 15,409 | $46.32 |
| 2026-05-07 | 23,692 | $46.48 |
| 2026-04-21 | 2,733 | $46.58 |
| 2026-04-20 | 6,790 | $46.43 |
| 2026-04-14 | 4 | $45.94 |
| 2026-04-07 | 262 | $44.37 |
| 2026-04-06 | 59 | $44.12 |
| 2026-04-02 | 4 | $43.96 |
| 2026-03-31 | 20 | $42.98 |
| 2026-03-27 | 181 | $43.72 |
| 2026-03-26 | 883 | $44.05 |
| 2026-03-25 | 1,132 | $43.75 |
| 2026-03-24 | 432 | $43.53 |
| 2026-03-20 | 1,902 | $43.45 |
| 2026-03-19 | 1,998 | $43.48 |
| 2026-03-18 | 2,159 | $44.20 |
| 2026-03-17 | 2,148 | $44.02 |
| 2026-03-10 | 1,141 | $44.98 |
| 2026-03-09 | 1,114 | $45.08 |
| 2026-03-06 | 1,135 | $45.77 |
| 2026-03-05 | 868 | $46.33 |
| 2026-03-02 | 416 | $46.55 |
| 2026-02-24 | 35 | $46.25 |
| 2026-02-18 | 292 | $46.83 |
| 2026-02-17 | 1,234 | $47.11 |
| 2026-02-13 | 1,108 | $46.89 |
| 2026-02-12 | 1,137 | $47.47 |
| 2026-02-11 | 999 | $47.39 |
| 2026-02-09 | 25 | $47.33 |
| 2026-02-05 | 16 | $46.30 |
| 2026-02-04 | 72 | $45.44 |
| 2026-01-30 | 145 | $45.34 |
| 2026-01-29 | 638 | $44.96 |
| 2026-01-28 | 476 | $45.18 |
| 2026-01-27 | 9 | $45.48 |
| 2026-01-22 | 623 | $45.82 |
| 2026-01-21 | 246 | $45.02 |
| 2026-01-20 | 730 | $45.68 |
| 2026-01-16 | 447 | $45.84 |
| 2026-01-15 | 618 | $45.19 |
| 2026-01-14 | 733 | $44.92 |
| 2026-01-09 | 11 | $45.00 |
| 2026-01-07 | 958 | $44.91 |
| 2026-01-06 | 2,213 | $44.59 |
| 2026-01-02 | 452 | $43.74 |
| 2025-12-31 | 665 | $44.17 |
| 2025-12-30 | 1,378 | $44.32 |
| 2025-12-29 | 1,605 | $44.52 |
| 2025-12-26 | 110 | $44.44 |
| 2025-12-23 | 7,687 | $44.53 |
| 2025-12-18 | 398 | $44.65 |
| 2025-11-19 | 28,438 | $42.66 |
| 2025-11-18 | 89,977 | $42.45 |
| 2025-11-17 | 88,583 | $43.26 |
| 2025-11-14 | 1,635 | $43.49 |
| 2025-11-13 | 80 | $44.01 |
| 2025-10-27 | 11 | $44.50 |
| 2025-10-14 | 1 | $43.49 |
| 2025-10-03 | 110 | $44.67 |
| 2025-09-30 | 6,292 | $44.68 |
| 2025-09-29 | 634 | $44.88 |
| 2025-09-25 | 4,017 | $44.70 |
| 2025-09-24 | 98 | $44.90 |
| 2025-09-17 | 6,543 | $44.99 |
| 2025-09-09 | 4,202 | $45.48 |
| 2025-09-08 | 404 | $45.39 |
| 2025-09-05 | 21 | $45.41 |
| 2025-09-04 | 17,850 | $44.86 |
| 2025-08-07 | 101 | $43.48 |
| 2025-08-06 | 15,510 | $43.45 |
| 2025-08-05 | 8,185 | $43.39 |
| 2025-08-04 | 7,523 | $42.79 |
| 2025-07-30 | 1 | $43.64 |
| 2025-07-28 | 536 | $43.91 |
| 2025-07-22 | 5,581 | $43.41 |
| 2025-07-21 | 15,333 | $43.60 |
| 2025-07-18 | 18,952 | $43.81 |
| 2025-07-17 | 1,307 | $43.49 |
| 2025-07-16 | 3,974 | $43.14 |
| 2025-07-15 | 4,165 | $44.02 |
Showing 90 most recent of 97.
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 00162Q395 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.