Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 33737M409
Over the rolling 12-month window, securities of FIRST TRUST SMALL CAP failed to deliver in the NSCC's Continuous Net Settlement system on 95 settlement days, totaling 245,571 fail shares and peaking at 40,222 shares on 2026-01-08. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-09-25 | 677 | $67.90 |
| 2026-09-24 | 723 | $68.40 |
| 2026-09-23 | 778 | $69.27 |
| 2026-09-22 | 778 | $69.05 |
| 2026-09-21 | 297 | $69.06 |
| 2026-09-18 | 2,250 | $69.86 |
| 2026-09-17 | 13,047 | $69.97 |
| 2026-08-21 | 17,650 | $72.06 |
| 2026-08-20 | 19,361 | $72.64 |
| 2026-08-19 | 15,031 | $72.43 |
| 2026-08-18 | 19,404 | $72.82 |
| 2026-08-17 | 27,081 | $73.42 |
| 2026-08-14 | 481 | $73.48 |
| 2026-08-13 | 83 | $72.60 |
| 2026-08-12 | 83 | $72.49 |
| 2026-08-11 | 4,888 | $72.35 |
| 2026-08-10 | 364 | $72.96 |
| 2026-08-07 | 3,015 | $72.45 |
| 2026-08-06 | 3,013 | $72.92 |
| 2026-08-05 | 14,249 | $73.66 |
| 2026-08-04 | 3,916 | $73.07 |
| 2026-08-03 | 3,952 | $72.01 |
| 2026-07-31 | 16,824 | $72.19 |
| 2026-07-30 | 17,149 | $72.83 |
| 2026-07-27 | 742 | $71.40 |
| 2026-07-23 | 17,612 | $71.37 |
| 2026-07-22 | 17,861 | $71.44 |
| 2026-07-21 | 437 | $71.15 |
| 2026-07-20 | 486 | $71.64 |
| 2026-07-17 | 620 | $72.29 |
| 2026-07-14 | 133 | $70.19 |
| 2026-07-13 | 222 | $69.81 |
| 2026-07-10 | 523 | $69.28 |
| 2026-07-09 | 768 | $68.85 |
| 2026-07-08 | 3,558 | $69.85 |
| 2026-07-07 | 18,493 | $70.07 |
| 2026-07-06 | 833 | $70.27 |
| 2026-07-02 | 19,111 | $70.08 |
| 2026-07-01 | 137 | $69.81 |
| 2026-06-11 | 40 | $67.40 |
| 2026-05-21 | 106 | $64.87 |
| 2026-05-20 | 117 | $63.61 |
| 2026-05-19 | 360 | $64.16 |
| 2026-05-12 | 187 | $65.37 |
| 2026-05-08 | 121 | $66.65 |
| 2026-05-07 | 266 | $66.98 |
| 2026-05-06 | 143 | $66.73 |
| 2026-05-05 | 1,290 | $65.94 |
| 2026-05-04 | 2,192 | $66.96 |
| 2026-05-01 | 249 | $66.70 |
| 2026-04-29 | 1,021 | $66.99 |
| 2026-04-28 | 953 | $66.95 |
| 2026-04-27 | 963 | $66.58 |
| 2026-04-24 | 964 | $66.29 |
| 2026-04-23 | 1,642 | $66.60 |
| 2026-04-22 | 2,419 | $66.58 |
| 2026-04-21 | 714 | $66.94 |
| 2026-04-20 | 14,049 | $66.55 |
| 2026-04-17 | 10,816 | $65.09 |
| 2026-04-16 | 10,319 | $64.97 |
| 2026-04-15 | 504 | $64.92 |
| 2026-04-14 | 557 | $64.69 |
| 2026-04-13 | 668 | $64.04 |
| 2026-04-10 | 711 | $64.44 |
| 2026-04-09 | 1,732 | $63.77 |
| 2026-04-07 | 16,057 | $62.57 |
| 2026-04-06 | 16,100 | $62.12 |
| 2026-04-02 | 15,926 | $61.73 |
| 2026-04-01 | 118 | $61.79 |
| 2026-03-31 | 3,271 | $60.93 |
| 2026-03-09 | 102 | $61.83 |
| 2026-03-06 | 2,929 | $62.94 |
| 2026-03-05 | 106 | $63.67 |
| 2026-03-04 | 305 | $63.10 |
| 2026-03-03 | 96 | $63.46 |
| 2026-02-26 | 212 | $63.25 |
| 2026-02-25 | 218 | $63.25 |
| 2026-02-24 | 218 | $62.94 |
| 2026-02-23 | 218 | $64.60 |
| 2026-02-19 | 3 | $64.24 |
| 2026-02-18 | 324 | $63.80 |
| 2026-02-17 | 649 | $64.05 |
| 2026-02-13 | 314 | $62.98 |
| 2026-02-12 | 174 | $64.21 |
| 2026-02-11 | 174 | $64.00 |
| 2026-02-09 | 173 | $64.07 |
| 2026-01-22 | 39 | $61.55 |
| 2026-01-16 | 250 | $60.96 |
| 2026-01-09 | 188 | $59.48 |
| 2026-01-08 | 40,222 | $58.06 |
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 33737M409 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.