13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-14, with 4,174 holding rows worth $317,858,352,000.
- Accession
- 0001256484-14-000014
- Filer
- CIK 73124
- Filed
- 2014-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 14,781 entries on the cover page, a total value of $317,858,352,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $317,858,352,000 with VALUE read as thousands by filing date, 13F file number 028-00290. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| PREMIER EXIBITIONS INC | 74051E102 | COM | 76,937 | $72,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 47,714 | $72,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 55,046 | $71,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 18,629 | $71,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 34,348 | $70,000 | thousands by filing date | |
| SYNTROLEUM CORP | 871630208 | COM | 18,012 | $70,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 10,265 | $70,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 22,171 | $70,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 12,698 | $69,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 59,144 | $69,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 11,381 | $69,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 27,665 | $69,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 25,177 | $68,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 39,516 | $68,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 326,737 | $66,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 26,934 | $66,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 24,873 | $66,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 15,560 | $66,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 27,540 | $65,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 23,926 | $65,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 16,401 | $65,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 19,469 | $65,000 | thousands by filing date | |
| PYRAMID OIL CO | 747215101 | COM | 10,379 | $65,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 35,334 | $64,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 75,901 | $64,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 10,022 | $64,000 | thousands by filing date | |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 11,547 | $64,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,046 | $63,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 20,815 | $62,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 51,237 | $61,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 81,200 | $61,000 | thousands by filing date | |
| VIDEO DISPLAY CORP | 926555103 | COM | 17,039 | $61,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 59,240 | $60,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 25,004 | $60,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 19,186 | $60,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 663 | $59,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 20,052 | $59,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 28,079 | $59,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 19,641 | $59,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 46,730 | $58,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 18,396 | $58,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 25,505 | $57,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 57,001 | $57,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 23,594 | $56,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 18,317 | $55,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 22,894 | $55,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 14,093 | $55,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 17,332 | $54,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 15,392 | $53,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 18,094 | $52,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 30,007 | $52,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 82,334 | $52,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 43,013 | $52,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 19,909 | $51,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 18,541 | $50,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 12,117 | $50,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 19,865 | $49,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 72,158 | $49,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 28,672 | $49,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 40,326 | $49,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 52,302 | $48,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 10,150 | $48,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 13,524 | $46,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 23,200 | $45,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 14,401 | $44,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 33,028 | $42,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 32,135 | $41,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 10,631 | $41,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 36,904 | $41,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 37,493 | $41,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 34,527 | $41,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 29,941 | $40,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 19,861 | $40,000 | thousands by filing date | |
| BTU INTERNATIONAL INC | 056032105 | COM | 12,453 | $39,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 14,020 | $39,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 15,823 | $39,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 18,770 | $38,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 134,080 | $38,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 20,809 | $38,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES | 043635101 | COM | 61,791 | $37,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 18,486 | $36,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 28,420 | $36,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 12,482 | $35,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 30,223 | $35,000 | thousands by filing date | |
| UNITEK GLOBAL SVCS INC | 91324T302 | COM | 18,295 | $34,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 12,704 | $33,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 15,726 | $33,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 39,278 | $33,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 19,682 | $33,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 14,657 | $32,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310206 | COM NEW | 39,856 | $32,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 42,507 | $32,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 81,039 | $32,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G102 | COM | 34,966 | $32,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 15,266 | $31,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 16,887 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 28,565 | $30,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 13,738 | $29,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 45,919 | $29,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 16,823 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 45,202 | $27,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 16,745 | $27,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 216,884 | $26,000 | thousands by filing date | |
| Cogo Group, Inc. | G9363W104 | COM | 10,982 | $26,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 11,832 | $26,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 32,889 | $25,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 12,118 | $25,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 11,590 | $23,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,905 | $23,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 34,487 | $23,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 33,359 | $22,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 41,972 | $21,000 | thousands by filing date | |
| COVER-ALL TECHNOLOGIES INC | 222892101 | COM | 14,898 | $21,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 59,423 | $20,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 38,976 | $20,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 12,788 | $19,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 30,494 | $17,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 21,061 | $16,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 10,363 | $16,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 19,125 | $16,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 2,819 | $16,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 18,150 | $16,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 12,006 | $16,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 16,458 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 17,036 | $15,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 11,757 | $15,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 47,213 | $14,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,482 | $13,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 12,774 | $13,000 | thousands by filing date | |
| KID BRANDS, INC. COM | 49375T100 | COM | 36,795 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 10,007 | $11,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,249 | $11,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 47,965 | $11,000 | thousands by filing date | |
| KIPS BAY MEDICAL INC | 49726K105 | COM | 16,507 | $11,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 43,597 | $11,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 11,402 | $11,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 10,887 | $10,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 157,699 | $10,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 59,931 | $9,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 50,246 | $7,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 57,810 | $7,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 44,783 | $6,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 41,977 | $6,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 45,254 | $5,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 34,600 | $5,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 30,230 | $4,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 27,175 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,701 | $4,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 30,344 | $4,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 27,449 | $4,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 11,000 | $3,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 24,420 | $3,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 11,650 | $3,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 22,868 | $3,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 17,710 | $3,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 20,672 | $3,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 15,550 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,065 | $2,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,002 | $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 | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 19,475 | $2,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 17,886 | $2,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 11,950 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,800 | $1,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,290 | $1,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,700 | $1,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 18,825 | $1,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,200 | $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 0001256484-14-000014 | this filing | 2014-05-14 | acceptance time not in the bulk data set |