Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 02110A431
Over the rolling 12-month window, securities of ALPS SER TR FUNDSMITH EQUITY E failed to deliver in the NSCC's Continuous Net Settlement system on 81 settlement days, totaling 1,763,537 fail shares and peaking at 802,069 shares on 2026-01-07. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-10-14 | 863 | $10.22 |
| 2026-10-13 | 823 | $10.16 |
| 2026-10-09 | 448 | $10.03 |
| 2026-09-16 | 15 | $9.85 |
| 2026-09-15 | 13 | $9.90 |
| 2026-09-14 | 7 | $9.81 |
| 2026-09-08 | 10 | $10.01 |
| 2026-09-03 | 4 | $10.03 |
| 2026-09-02 | 4 | $9.99 |
| 2026-09-01 | 12 | $10.13 |
| 2026-08-25 | 54 | $10.10 |
| 2026-08-24 | 74 | $10.06 |
| 2026-08-06 | 105 | $10.08 |
| 2026-07-28 | 11 | $9.65 |
| 2026-07-24 | 179 | $9.47 |
| 2026-07-23 | 157 | $9.55 |
| 2026-07-22 | 148 | $9.67 |
| 2026-07-20 | 22 | $9.73 |
| 2026-07-16 | 307 | $9.81 |
| 2026-07-15 | 18 | $9.73 |
| 2026-07-10 | 7 | $9.78 |
| 2026-07-09 | 2 | $9.78 |
| 2026-06-25 | 7 | $9.70 |
| 2026-06-24 | 1 | $9.66 |
| 2026-06-10 | 477 | $9.79 |
| 2026-06-09 | 574 | $9.76 |
| 2026-06-05 | 333 | $9.96 |
| 2026-06-03 | 32 | $9.92 |
| 2026-06-02 | 33 | $9.93 |
| 2026-06-01 | 3 | $9.94 |
| 2026-05-28 | 17 | $9.92 |
| 2026-05-27 | 15 | $9.89 |
| 2026-05-26 | 10 | $9.80 |
| 2026-05-19 | 379 | $9.75 |
| 2026-05-18 | 762 | $9.64 |
| 2026-05-15 | 759 | $9.69 |
| 2026-05-14 | 1,987 | $9.63 |
| 2026-05-13 | 3,228 | $9.67 |
| 2026-05-12 | 3,262 | $9.63 |
| 2026-05-11 | 2,836 | $9.73 |
| 2026-05-06 | 19 | $9.74 |
| 2026-05-05 | 19 | $9.65 |
| 2026-04-28 | 119 | $9.70 |
| 2026-04-27 | 57 | $9.76 |
| 2026-04-24 | 57 | $9.68 |
| 2026-04-22 | 385 | $9.56 |
| 2026-04-21 | 382 | $9.67 |
| 2026-04-20 | 379 | $9.74 |
| 2026-04-17 | 155 | $9.53 |
| 2026-04-15 | 267 | $9.50 |
| 2026-04-14 | 58 | $9.34 |
| 2026-04-13 | 1 | $9.29 |
| 2026-04-10 | 1 | $9.32 |
| 2026-04-09 | 1 | $9.31 |
| 2026-04-01 | 1 | $8.97 |
| 2026-03-31 | 13 | $8.74 |
| 2026-03-30 | 1,739 | $8.72 |
| 2026-03-27 | 1 | $8.87 |
| 2026-03-20 | 827 | $8.98 |
| 2026-03-19 | 1,478 | $9.02 |
| 2026-03-18 | 101 | $9.20 |
| 2026-03-13 | 128 | $9.11 |
| 2026-03-12 | 665 | $9.29 |
| 2026-03-10 | 57 | $9.40 |
| 2026-03-09 | 53 | $9.34 |
| 2026-03-06 | 53 | $9.42 |
| 2026-03-05 | 44 | $9.57 |
| 2026-02-19 | 3 | $9.71 |
| 2026-02-12 | 526 | $10.08 |
| 2026-02-11 | 527 | $9.84 |
| 2026-02-10 | 542 | $9.79 |
| 2026-02-09 | 1 | $9.86 |
| 2026-02-06 | 12 | $9.87 |
| 2026-02-04 | 4,990 | $9.89 |
| 2026-02-03 | 68 | $10.09 |
| 2026-02-02 | 178 | $10.03 |
| 2026-01-30 | 72 | $10.03 |
| 2026-01-28 | 2,514 | $10.11 |
| 2026-01-27 | 12,517 | $10.13 |
| 2026-01-26 | 5,509 | $10.11 |
| 2026-01-23 | 4,089 | $10.09 |
| 2026-01-22 | 2,962 | $10.01 |
| 2026-01-21 | 450 | $9.98 |
| 2026-01-15 | 130 | $10.13 |
| 2026-01-14 | 13,650 | $10.19 |
| 2026-01-13 | 23,280 | $10.23 |
| 2026-01-12 | 1,523 | $10.22 |
| 2026-01-09 | 1,177 | $10.13 |
| 2026-01-08 | 12,508 | $10.09 |
| 2026-01-07 | 802,069 | $10.15 |
Showing 90 most recent of 111.
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 02110A431 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.