13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-12, with 4,293 holding rows worth $299,655,830,000.
- Accession
- 0001256484-15-000022
- Filer
- CIK 73124
- Filed
- 2015-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 15,232 entries on the cover page, a total value of $299,655,830,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $299,655,830,000 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 |
|---|---|---|---|---|---|---|
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 17,332 | $76,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 17,888 | $73,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 142,272 | $73,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 43,544 | $73,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 26,710 | $72,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 15,000 | $72,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 30,348 | $72,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 12,445 | $72,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 16,866 | $71,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 12,286 | $71,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 125,529 | $71,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 155,425 | $71,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 11,143 | $70,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 80,201 | $70,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 114,053 | $68,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 21,438 | $67,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 35,765 | $67,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 48,936 | $67,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 34,434 | $65,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 18,783 | $65,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 13,488 | $63,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 44,217 | $63,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 35,274 | $63,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 45,277 | $62,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 69,530 | $62,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 14,005 | $62,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 13,255 | $62,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 10,839 | $61,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 38,513 | $61,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 26,533 | $61,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 30,894 | $61,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 13,167 | $60,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 11,602 | $60,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 102,959 | $60,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 126,467 | $59,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 11,118 | $58,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 30,116 | $58,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 14,923 | $58,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 65,417 | $57,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 22,359 | $57,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 26,016 | $57,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 102,176 | $57,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 20,331 | $56,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 15,321 | $56,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 35,429 | $56,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 37,531 | $56,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 26,023 | $56,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 14,718 | $56,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 331,500 | $55,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 25,620 | $55,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 44,942 | $55,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 41,969 | $54,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 14,662 | $54,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 63,708 | $54,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 85,066 | $54,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 16,865 | $54,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 11,171 | $54,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 19,438 | $53,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,168 | $53,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 23,043 | $53,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 131,571 | $53,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 91,762 | $53,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 69,408 | $53,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 15,603 | $53,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 14,941 | $52,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 54,309 | $52,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 14,051 | $52,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 28,831 | $52,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 17,773 | $51,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 10,501 | $51,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 22,032 | $51,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 20,966 | $51,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 14,998 | $50,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 11,586 | $50,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 30,000 | $49,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 19,634 | $49,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 26,006 | $49,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 30,641 | $49,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 26,172 | $49,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 22,513 | $48,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 27,556 | $48,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 46,254 | $48,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 47,357 | $48,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 80,231 | $48,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 79,130 | $48,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 113,289 | $48,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 22,935 | $47,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 20,516 | $47,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 21,816 | $46,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 20,284 | $46,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 114,807 | $45,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 13,838 | $45,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 27,327 | $45,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 19,003 | $44,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 21,381 | $44,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 17,926 | $44,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 130,480 | $44,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 120,560 | $44,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 33,284 | $44,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 65,217 | $44,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 24,692 | $44,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 146,925 | $43,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 53,961 | $43,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 12,385 | $43,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,587 | $43,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 32,241 | $43,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 17,419 | $43,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 11,284 | $43,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 20,417 | $42,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 34,536 | $42,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 18,928 | $42,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 37,056 | $41,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 135,848 | $41,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 10,200 | $41,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 164,119 | $40,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 25,490 | $40,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 12,786 | $40,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 10,665 | $39,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 24,918 | $39,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 22,944 | $39,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 23,505 | $39,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 38,358 | $39,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 20,111 | $39,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 22,638 | $39,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 29,012 | $39,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 19,194 | $38,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 165,272 | $37,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 15,711 | $37,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 27,597 | $37,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 31,098 | $36,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 111,555 | $36,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 28,243 | $35,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 60,000 | $35,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 36,700 | $35,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 203,581 | $35,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 83,704 | $35,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 28,415 | $35,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 20,724 | $35,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 33,555 | $35,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 27,764 | $34,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 26,908 | $34,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 56,013 | $34,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 15,177 | $33,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 17,252 | $33,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 85,739 | $32,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 11,364 | $32,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,709 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 57,088 | $30,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 16,348 | $30,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 12,845 | $30,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 93,381 | $30,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 19,766 | $30,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 20,218 | $30,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 19,163 | $28,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 40,661 | $28,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 34,631 | $28,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 149,655 | $28,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 21,277 | $28,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 40,121 | $27,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 10,120 | $27,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 14,833 | $27,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 12,320 | $26,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 72,948 | $26,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 49,083 | $26,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 19,526 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 22,839 | $25,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 25,003 | $25,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 18,281 | $25,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,597 | $24,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 12,716 | $24,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 25,776 | $24,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 29,076 | $24,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 23,143 | $24,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 25,756 | $24,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 14,521 | $24,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 31,370 | $23,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,842 | $22,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 10,046 | $22,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 17,699 | $22,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 19,660 | $21,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 14,756 | $21,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 42,220 | $21,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,239 | $21,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 46,877 | $20,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 45,764 | $20,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 20,567 | $19,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 13,335 | $19,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 12,493 | $19,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 17,646 | $19,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 33,933 | $18,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 69,013 | $18,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 11,807 | $18,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,075 | $18,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 20,185 | $17,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 60,212 | $17,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 33,166 | $17,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 22,677 | $17,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 25,507 | $17,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 19,596 | $17,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 12,240 | $16,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 75,462 | $15,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 12,268 | $15,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 27,158 | $15,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 13,955 | $14,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 20,369 | $14,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 48,380 | $14,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 51,703 | $14,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 12,772 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 14,809 | $13,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 118,744 | $13,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 11,491 | $13,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 14,855 | $13,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 10,871 | $12,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 40,837 | $12,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 24,965 | $12,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 110,612 | $12,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 10,740 | $12,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 12,157 | $12,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 23,551 | $12,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 123,301 | $11,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $11,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 31,110 | $11,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 13,346 | $11,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 19,479 | $11,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 11,659 | $10,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 29,574 | $10,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 11,055 | $10,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 12,596 | $10,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 28,824 | $9,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 10,321 | $9,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 29,897 | $8,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 11,347 | $8,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 14,368 | $8,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 17,246 | $8,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 60,558 | $7,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 32,527 | $7,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 19,178 | $7,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 43,484 | $7,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 11,717 | $7,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 11,049 | $7,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 11,170 | $6,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 43,383 | $6,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 20,461 | $6,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 16,321 | $6,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 16,539 | $6,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 13,831 | $6,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 10,638 | $6,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 12,000 | $5,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 15,494 | $5,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 12,782 | $5,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 71,961 | $5,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 31,097 | $4,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 29,275 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,351 | $4,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 24,800 | $4,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 54,812 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 35,105 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 24,704 | $4,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 22,908 | $4,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 24,214 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 14,085 | $4,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 24,611 | $4,000 | thousands by filing date | |
| PERSEON CORP | 715270203 | Cmn | 12,031 | $4,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 21,538 | $3,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 25,459 | $3,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 20,397 | $3,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 18,381 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 22,832 | $3,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 19,015 | $3,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 17,622 | $3,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 24,147 | $2,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 12,700 | $2,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 10,000 | $2,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 13,115 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,465 | $2,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,002 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,172 | $2,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 18,754 | $2,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 18,320 | $2,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 14,956 | $2,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 29,201 | $2,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 12,055 | $2,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 13,150 | $2,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 14,374 | $2,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 14,169 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 15,300 | $1,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 11,375 | $1,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 32,000 | $1,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,059 | $1,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 10,916 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 11,706 | $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. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 33,299 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-15-000022 | this filing | 2015-11-12 | acceptance time not in the bulk data set |