13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-13, with 4,312 holding rows worth $318,407,094,000.
- Accession
- 0001256484-14-000022
- Filer
- CIK 73124
- Filed
- 2014-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 13,195 entries on the cover page, a total value of $318,407,094,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $318,407,094,000 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 |
|---|---|---|---|---|---|---|
| CANCER GENETICS INC. | 13739u104 | COM | 12,720 | $114,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 83,697 | $114,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 11,300 | $113,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 47,098 | $113,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 51,940 | $111,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 10,620 | $109,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 53,471 | $107,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 31,989 | $107,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 95,323 | $106,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 27,579 | $106,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 59,208 | $105,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 4,700 | $104,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 49,298 | $104,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 86,312 | $104,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 42,424 | $102,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 21,947 | $102,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 31,258 | $101,000 | thousands by filing date | |
| LEVY ACQUISITION CORP | 52748T203 | COM | 10,000 | $101,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 30,161 | $100,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 30,245 | $100,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 5,231 | $100,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 81,173 | $100,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 14,116 | $100,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 67,779 | $99,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 174,951 | $98,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 20,886 | $98,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 27,294 | $97,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 15,262 | $97,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 30,289 | $97,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 63,665 | $96,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 84,093 | $96,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 31,559 | $96,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 86,062 | $95,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 16,127 | $95,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 11,769 | $94,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 53,911 | $93,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 39,588 | $93,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 64,948 | $91,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 27,845 | $90,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 120,665 | $90,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 32,296 | $90,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 38,830 | $90,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,424 | $89,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 17,308 | $89,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 22,721 | $89,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 44,135 | $88,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 99,019 | $88,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 31,630 | $87,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 36,022 | $87,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 88,776 | $86,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 16,100 | $86,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 30,537 | $86,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 17,843 | $85,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 15,004 | $85,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 13,001 | $84,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 46,747 | $84,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 25,505 | $83,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 138,023 | $83,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 19,367 | $83,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 22,314 | $82,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 52,836 | $82,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 90,871 | $82,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 19,097 | $81,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 17,945 | $81,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 36,201 | $80,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 20,560 | $80,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 15,912 | $79,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 10,117 | $79,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 27,753 | $79,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 20,207 | $78,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 17,252 | $78,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 35,557 | $77,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 30,282 | $77,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 255,958 | $77,000 | thousands by filing date | |
| LEARNING TREE INTERNATIONAL | 522015106 | COM | 33,091 | $77,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 22,981 | $76,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 236,866 | $76,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 24,513 | $76,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,378 | $76,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 271,845 | $76,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 13,229 | $75,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 28,976 | $75,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 35,473 | $75,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 10,705 | $74,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 13,562 | $73,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 42,274 | $73,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 40,356 | $73,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 129,547 | $72,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 35,947 | $72,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 17,907 | $72,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 25,004 | $72,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 30,416 | $71,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 19,909 | $71,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 13,508 | $70,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 6,384 | $69,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 22,669 | $69,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 53,199 | $69,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 36,029 | $69,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 22,625 | $69,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 56,451 | $68,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 29,487 | $68,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 28,976 | $67,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 30,223 | $67,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 16,200 | $67,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 37,341 | $67,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 14,198 | $66,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 115,712 | $66,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 16,593 | $66,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 22,406 | $66,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 42,210 | $65,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 924 | $65,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 60,866 | $65,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 72,394 | $65,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 10,265 | $65,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 29,421 | $65,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,555 | $65,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 22,788 | $65,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 38,375 | $64,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 17,124 | $63,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 40,670 | $63,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 80,210 | $63,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 20,312 | $62,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 20,815 | $60,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 17,546 | $60,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 32,257 | $59,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 12,275 | $58,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 76,022 | $57,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 18,656 | $56,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 27,754 | $56,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 75,251 | $55,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 16,964 | $55,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 52,052 | $55,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 12,737 | $55,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 12,897 | $55,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 26,545 | $53,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 151,990 | $53,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 24,591 | $53,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 25,545 | $53,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 26,441 | $53,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 16,831 | $52,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 26,934 | $52,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 27,665 | $52,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 56,491 | $51,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 10,586 | $51,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 31,706 | $51,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 18,941 | $50,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 58,978 | $50,000 | thousands by filing date | |
| VIDEO DISPLAY CORP | 926555103 | COM | 17,104 | $50,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 25,226 | $50,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 32,889 | $49,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 15,756 | $49,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 16,948 | $48,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 29,707 | $47,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 73,209 | $47,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 47,543 | $47,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 13,265 | $47,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 19,336 | $46,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 45,117 | $45,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 10,554 | $44,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 46,730 | $44,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 18,541 | $43,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 20,306 | $43,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 14,093 | $43,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 13,254 | $42,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 43,013 | $42,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 25,167 | $42,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 14,020 | $42,000 | thousands by filing date | |
| BTU INTERNATIONAL INC | 056032105 | COM | 12,453 | $41,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 19,125 | $41,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 37,386 | $40,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 56,804 | $39,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 31,856 | $38,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 34,921 | $38,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 15,823 | $38,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 21,183 | $38,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 18,167 | $37,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 21,869 | $37,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 12,376 | $37,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 14,631 | $36,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 19,497 | $36,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 10,324 | $36,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 29,692 | $35,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 28,672 | $35,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 71,110 | $33,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 55,046 | $32,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 18,629 | $32,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 10,631 | $31,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 15,560 | $31,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 13,723 | $31,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 2,075 | $30,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 25,241 | $30,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 17,863 | $28,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 12,828 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 47,878 | $27,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 15,266 | $27,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 97,843 | $27,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 30,978 | $27,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 23,192 | $27,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 13,703 | $27,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 19,682 | $27,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 45,919 | $25,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 18,486 | $24,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 28,420 | $24,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 15,726 | $24,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 38,976 | $24,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 34,527 | $24,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 12,006 | $24,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 66,299 | $23,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 20,163 | $23,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 36,904 | $22,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,210 | $21,000 | thousands by filing date | |
| COVER-ALL TECHNOLOGIES INC | 222892101 | COM | 16,620 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 18,516 | $20,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 181,219 | $20,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 41,972 | $20,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 17,148 | $20,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 12,118 | $20,000 | thousands by filing date | |
| Cogo Group, Inc. | G9363W104 | COM | 11,083 | $20,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 42,507 | $19,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,538 | $18,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 12,788 | $18,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 21,361 | $17,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 11,821 | $17,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 14,657 | $17,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 11,590 | $16,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 19,641 | $16,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 12,784 | $15,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 12,903 | $15,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 13,258 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 14,579 | $13,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 15,775 | $13,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 23,200 | $13,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 59,423 | $13,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,482 | $12,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,905 | $12,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 34,487 | $12,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 11,575 | $12,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 30,323 | $10,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 70,336 | $10,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,249 | $9,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 12,237 | $9,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 16,823 | $9,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 74,100 | $8,000 | thousands by filing date | |
| Astronics Class B Convertible | 046433207 | COM | 160 | $8,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 11,402 | $8,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 12,774 | $8,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 10,887 | $7,000 | thousands by filing date | |
| GEA GROUP AG ADR | 361592108 | COM | 161 | $7,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 18,150 | $7,000 | thousands by filing date | |
| ALLIANZ SE FUNSPONSORED ADR 1 ADR REPS 0.1 ORD SHS | 018805101 | ADR | 372 | $6,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 12,150 | $6,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 211 | $6,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 35,529 | $6,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 153,401 | $6,000 | thousands by filing date | |
| Body Cent Corp | 09689U201 | COMM | 2,934 | $6,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 41,532 | $5,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 34,963 | $5,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 41,488 | $5,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 175 | $5,000 | thousands by filing date | |
| BNP PARIBAS SPONSORED ADR | 05565A202 | ADUS | 151 | $5,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 580 | $5,000 | thousands by filing date | |
| KDDI CORP. | 48667L106 | Common stock | 362 | $5,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 490 | $5,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 537 | $5,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 94,544 | $5,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 28,975 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,701 | $4,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 24,400 | $4,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 73,775 | $4,000 | thousands by filing date | |
| Bayer AG Spons ADR | 072730302 | COM | 31 | $4,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 82 | $4,000 | thousands by filing date | |
| PRYSMIAN SPA UNSPONSORD ADR | 74440l106 | COM | 529 | $4,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 418 | $4,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 24,779 | $4,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 59,931 | $4,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 33,168 | $4,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 25,400 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 24,420 | $3,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 25,063 | $3,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 26,258 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 12,830 | $3,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 137 | $3,000 | thousands by filing date | |
| DANONE SPONSORED ADR | 23636T100 | COM | 264 | $3,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 24,100 | $3,000 | thousands by filing date | |
| RHEINMETALL AG ADR | 76206K107 | ADR | 395 | $3,000 | thousands by filing date | |
| HUSQVARNA AB ADR | 448103101 | COM | 222 | $3,000 | thousands by filing date | |
| KAWASAKI HEAVY INDS-SP ADR | 486359201 | COM | 249 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 22,500 | $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 | 18,922 | $3,000 | thousands by filing date | |
| CASINO GUICHARD PERRACHON SA | 14758Q206 | COM | 177 | $3,000 | thousands by filing date | |
| ARYZTA AG ADR | 04338X102 | ADR | 71 | $3,000 | thousands by filing date | |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | 980228308 | ADR | 63 | $2,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 18,250 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,102 | $2,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 17,190 | $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 | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 18,300 | $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 | 17,886 | $2,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 20,290 | $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 | 10,990 | $1,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,200 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 10,606 | $1,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 13,000 | $1,000 | thousands by filing date | |
| WORLETYPARSONS LTD | 98161Q101 | COM | 143 | $1,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 10,289 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTEL NETWORKS CORP | 656568508 | COMMON STOCK | 488 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AFFYMAX INC | 00826A109 | COM | 3,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 18,330 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-14-000022 | this filing | 2014-11-13 | acceptance time not in the bulk data set |