SAWS Fail-to-Deliver

AAM Sawgrass U.S. Small Cap Quality Growth ETF (SAWS) operates in the Financial Services sector, specifically the Asset Management industry, with a market capitalization near $1.6M, listed on AMEX, employing roughly 43 people, carrying a beta of 0.84 to the broader market. SAWS employs a risk-aware approach to investing in small-capitalization US growth equities. Led by Steven Rossi, public since 2024-07-31.

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

2026-06-30

Latest FTD Quantity

4.2K

Latest Price

$25.71

30-Day Avg FTD

404

30-Day Total FTD

12.1K

Showing 30 days of SEC fail-to-deliver data for AAM Sawgrass U.S. Small Cap Quality Growth ETF.

Learn how fails-to-deliver is reported and how to read the data →

Frequently asked SAWS fail to deliver questions

What is the latest SAWS fail-to-deliver count?

As of Jun 30, 2026, AAM Sawgrass U.S. Small Cap Quality Growth ETF (SAWS) fail-to-deliver quantity is 4.2K shares, with a 30-day average of 404 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 SAWS 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.