13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-12, with 4,107 holding rows worth $311,929,825,000.
- Accession
- 0001256484-14-000002
- Filer
- CIK 73124
- Filed
- 2014-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 12,591 entries on the cover page, a total value of $311,929,825,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $311,929,825,000 with VALUE read as thousands by filing date, 13F file number 028-00290. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerNORTHERN TRUST CO028-10495
- included managerNorthern Trust Investments, Inc028-10487
- included managerNORTHERN TRUST GLOBAL INVESTMENTS LTD028-10549
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Delcath Systems Inc | 24661p104 | COM | 137,048 | $35,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 12,704 | $35,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 15,504 | $35,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 83,893 | $32,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 21,133 | $32,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 11,592 | $32,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 41,977 | $31,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 52,773 | $31,000 | thousands by filing date | |
| UNITEK GLOBAL SVCS INC | 91324T302 | COM | 18,295 | $31,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 13,524 | $31,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 17,025 | $30,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 17,770 | $30,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 13,713 | $29,000 | thousands by filing date | |
| HOLLYWOOD MEDIA CORP | 436233100 | CMN | 20,304 | $29,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 18,486 | $28,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 16,453 | $28,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 19,469 | $27,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 13,738 | $27,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 38,166 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 43,355 | $25,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 18,150 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 23,371 | $24,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 47,026 | $24,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 10,416 | $24,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 11,907 | $24,000 | thousands by filing date | |
| THERMOGENESIS CORP | 883623308 | COM | 22,549 | $23,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,890 | $22,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 36,904 | $22,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 11,259 | $22,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 13,226 | $22,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 19,362 | $22,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 59,423 | $21,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 34,487 | $21,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 23,445 | $21,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 14,407 | $21,000 | thousands by filing date | |
| COVER-ALL TECHNOLOGIES INC | 222892101 | COM | 14,898 | $21,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 19,912 | $20,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 39,278 | $20,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 16,458 | $19,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 12,408 | $18,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 12,788 | $18,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 17,638 | $18,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310206 | COM NEW | 18,302 | $18,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 34,210 | $18,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 30,298 | $18,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 41,972 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 18,286 | $15,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 25,161 | $15,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F104 | COM | 14,608 | $15,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 12,774 | $14,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 11,757 | $14,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 13,970 | $12,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 12,006 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 10,358 | $10,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 59,931 | $10,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 11,199 | $9,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 81,412 | $9,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 28,009 | $9,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G102 | COM | 15,677 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 52,046 | $7,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 30,494 | $7,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 11,402 | $7,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 46,742 | $6,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 19,125 | $6,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 48,458 | $5,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 45,233 | $5,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 16,798 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,701 | $4,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 18,555 | $4,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 33,232 | $4,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 30,717 | $4,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 27,572 | $4,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 11,000 | $3,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 28,230 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 27,175 | $3,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 46,625 | $3,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 11,650 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 26,307 | $3,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 10,445 | $3,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 20,672 | $3,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 14,845 | $3,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,195 | $2,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 11,690 | $2,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 16,550 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 19,687 | $2,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 18,000 | $2,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 18,200 | $2,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,331 | $2,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 15,199 | $2,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 24,100 | $2,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 15,000 | $2,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 17,970 | $2,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 18,569 | $2,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 11,200 | $2,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 20,805 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,800 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,600 | $1,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,700 | $1,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,200 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,065 | $1,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 12,254 | $1,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 14,050 | $1,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 19,506 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 12,406 | $1,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 13,000 | $1,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 18,330 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-14-000002 | this filing | 2014-02-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001256484-14-000013 | base | 2014-02-21 | acceptance time not in the bulk data set |