GAUD Fail-to-Deliver
Guinness Atkinson US Dividend Builder ETF (GAUD) operates in the Financial Services sector, specifically the Asset Management - Income industry, with a market capitalization near $246,297, listed on AMEX, carrying a beta of 0.61 to the broader market. GAUD is an actively managed ETF designed for investors seeking income from durable US companies with reliable, inflation-aware dividend growth potential. Led by Christian Magoon, public since 2025-12-22.
Fail-to-deliver (FTD) data from the SEC tracks settlement failures where shares were not delivered within the standard settlement period. Persistent FTDs may indicate naked short selling or settlement issues and are monitored by regulators.
- Latest Date
- 2026-05-13
- Latest FTD Quantity
- 9
- Latest Price
- $24.27
- 30-Day Avg FTD
- 19
- 30-Day Total FTD
- 568
Showing 30 days of SEC fail-to-deliver data for Guinness Atkinson US Dividend Builder ETF.
Learn how fails-to-deliver is reported and how to read the data →
Frequently asked GAUD fail to deliver questions
- What is the latest GAUD fail-to-deliver count?
- As of May 13, 2026, Guinness Atkinson US Dividend Builder ETF (GAUD) fail-to-deliver quantity is 9 shares, with a 30-day average of 19 shares. The SEC publishes FTD data twice monthly: first-half data at month-end, second-half around the 15th of the following month.
- What is the FTD aggregate net balance?
- FTD figures represent the aggregate net balance in NSCC's Continuous Net Settlement (CNS) system, not the gross failed-share count. The published numbers run 2-6 weeks stale relative to the underlying settlement date.
- How do GAUD FTDs affect options pricing?
- Persistent FTDs flag hard-to-borrow conditions that distort put-call parity: in HTB names, synthetic long stock (long call + short put at the same strike) trades below the frictionless-parity price by approximately the borrow rebate. The discount equals the lending revenue forgone by holding the synthetic instead of actual shares. Reg SHO threshold-list inclusion follows from sustained FTD persistence.