13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-12, with 4,226 holding rows worth $308,046,202,000.
- Accession
- 0001256484-16-000044
- Filer
- CIK 73124
- Filed
- 2016-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 15,037 entries on the cover page, a total value of $308,046,202,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $308,046,202,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 10,016 | $54,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 71,926 | $53,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 212,968 | $53,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 24,339 | $53,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 34,398 | $53,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 18,367 | $53,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 93,213 | $52,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 30,116 | $52,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 63,708 | $52,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 114,053 | $52,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 34,060 | $51,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 37,531 | $51,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 13,838 | $51,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 77,746 | $50,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 10,044 | $50,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 32,978 | $49,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 14,077 | $49,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 88,536 | $49,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 42,643 | $49,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 35,429 | $48,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 106,262 | $48,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 38,483 | $48,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 14,974 | $47,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 33,356 | $47,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 182,069 | $47,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 65,217 | $47,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 11,930 | $47,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 10,120 | $47,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 19,003 | $45,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 39,816 | $45,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 21,968 | $45,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 19,438 | $44,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 29,630 | $44,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 37,109 | $43,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 25,531 | $43,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 14,662 | $43,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 19,194 | $43,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 19,163 | $43,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 10,758 | $42,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 19,534 | $42,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 25,398 | $42,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 36,700 | $41,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 38,358 | $41,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 14,833 | $41,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 68,434 | $40,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 10,217 | $39,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 66,389 | $39,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 60,212 | $39,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 136,192 | $39,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 65,417 | $39,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 110,826 | $39,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 21,109 | $39,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 15,321 | $38,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 69,408 | $38,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 21,387 | $37,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 15,884 | $37,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 59,066 | $37,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 15,008 | $37,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 17,569 | $37,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 168,678 | $36,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 104,876 | $36,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 11,586 | $36,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 87,461 | $35,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 25,650 | $35,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 19,747 | $34,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 17,926 | $34,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 85,431 | $34,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 66,797 | $34,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 74,680 | $34,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 30,894 | $34,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 57,244 | $34,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 26,568 | $34,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 30,341 | $34,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 32,972 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 55,540 | $32,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 25,776 | $32,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 29,897 | $32,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 44,231 | $32,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 26,533 | $31,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,141 | $30,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 24,918 | $30,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 14,756 | $30,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 13,167 | $29,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 14,453 | $29,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 22,377 | $29,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 20,123 | $28,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 79,130 | $28,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 10,643 | $28,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 33,893 | $28,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 21,108 | $27,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 12,523 | $27,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 28,415 | $27,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 14,341 | $26,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 15,989 | $25,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 40,121 | $25,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,368 | $25,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 12,455 | $25,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 12,845 | $24,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 28,243 | $24,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 53,961 | $24,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 203,581 | $24,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 47,357 | $24,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 10,589 | $24,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 18,519 | $24,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 12,786 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 26,703 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 20,225 | $23,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 12,347 | $23,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 28,549 | $23,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 60,000 | $22,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 26,908 | $22,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 19,596 | $22,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 14,521 | $22,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 16,962 | $21,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,587 | $21,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 20,567 | $20,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 33,744 | $20,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 31,098 | $20,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 15,000 | $20,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 113,289 | $20,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,239 | $20,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 11,057 | $20,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,075 | $20,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 20,966 | $20,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 83,704 | $19,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 10,471 | $19,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,842 | $18,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 17,375 | $18,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 21,816 | $18,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 17,087 | $18,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 10,669 | $17,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 25,499 | $17,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 24,692 | $17,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 19,152 | $16,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 13,335 | $16,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 12,385 | $16,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 10,501 | $16,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 12,493 | $16,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 10,120 | $15,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 84,873 | $14,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 45,764 | $14,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 17,252 | $14,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 20,516 | $14,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 15,271 | $14,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $13,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 30,641 | $13,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 10,111 | $13,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 17,419 | $13,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 22,638 | $13,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 11,049 | $13,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 18,807 | $13,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 20,537 | $13,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 22,886 | $13,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 12,240 | $12,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,215 | $12,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 23,505 | $12,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 47,700 | $12,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 22,032 | $12,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 72,464 | $11,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 10,321 | $11,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 10,790 | $10,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 22,197 | $10,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 11,807 | $10,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,709 | $10,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 17,520 | $10,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 28,831 | $10,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 20,185 | $9,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 12,268 | $9,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 12,772 | $8,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 17,646 | $8,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 18,771 | $8,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 17,332 | $8,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 27,158 | $8,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 46,988 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 19,866 | $7,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 11,333 | $7,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 20,218 | $7,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 12,157 | $7,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 19,479 | $7,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 11,491 | $7,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 31,370 | $7,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 39,000 | $6,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 37,643 | $6,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 22,677 | $6,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 11,055 | $6,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 32,175 | $5,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 24,704 | $5,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 22,908 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 24,366 | $5,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 17,246 | $5,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 43,887 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,051 | $4,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $4,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 28,942 | $4,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 29,963 | $4,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 12,716 | $4,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 34,631 | $4,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 22,910 | $4,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 16,539 | $4,000 | thousands by filing date | |
| StemCells, Inc. | 85857R303 | COM | 10,970 | $4,000 | thousands by filing date | |
| FUNCTIONX INC NEW COM NEW | 36077T108 | Stock | 12,596 | $4,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 13,831 | $4,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 18,717 | $3,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 21,600 | $3,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 21,718 | $3,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 15,622 | $3,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 14,368 | $3,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 17,548 | $3,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 18,800 | $3,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 10,000 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 23,571 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 14,918 | $2,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 13,169 | $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 | 10,330 | $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 | 15,647 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,172 | $2,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 25,606 | $2,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 11,593 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,800 | $1,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,000 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 10,144 | $1,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 16,666 | $1,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 11,645 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 31,947 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-16-000044 | this filing | 2016-08-12 | acceptance time not in the bulk data set |