13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 4,183 holding rows worth $326,043,882,000.
- Accession
- 0001256484-17-000005
- Filer
- CIK 73124
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 15,050 entries on the cover page, a total value of $326,043,882,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $326,043,882,000 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 |
|---|---|---|---|---|---|---|
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 62,800 | $55,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 11,230 | $55,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 31,100 | $54,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 35,604 | $53,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 93,250 | $53,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 16,493 | $52,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 37,452 | $52,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 12,397 | $52,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 45,205 | $50,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 20,851 | $50,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 11,794 | $50,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 50,812 | $50,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 20,963 | $49,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 58,235 | $49,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 10,016 | $48,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 22,275 | $48,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 14,338 | $46,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 14,596 | $46,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 13,624 | $46,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 26,537 | $46,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 15,303 | $44,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 45,205 | $44,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 20,575 | $44,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 23,256 | $43,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 13,044 | $43,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 40,446 | $42,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 35,671 | $41,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 68,332 | $41,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 13,962 | $41,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 38,233 | $40,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 141,463 | $39,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 35,197 | $39,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 20,026 | $39,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 47,987 | $38,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 16,556 | $38,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 26,009 | $38,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 151,820 | $38,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 35,067 | $37,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 34,101 | $37,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 37,000 | $37,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 14,973 | $36,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 20,028 | $36,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 152,078 | $36,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 17,667 | $35,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 37,940 | $35,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 11,733 | $34,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 26,732 | $34,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 50,033 | $34,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 17,976 | $34,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 21,466 | $33,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 271,671 | $33,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 17,591 | $33,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 64,034 | $33,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 38,841 | $33,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 11,317 | $33,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 15,000 | $32,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 70,174 | $32,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 26,043 | $32,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 24,629 | $32,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 219,198 | $31,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 21,239 | $31,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 20,667 | $30,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 13,119 | $30,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 14,083 | $30,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,141 | $29,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 21,242 | $29,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 57,094 | $29,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 30,219 | $29,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 10,678 | $29,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 31,227 | $29,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 25,000 | $29,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,960 | $28,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 324,827 | $28,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 13,391 | $28,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 27,373 | $28,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 13,318 | $28,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 19,616 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 104,670 | $27,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 16,725 | $27,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 68,980 | $27,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 60,053 | $27,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 17,879 | $27,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 157,209 | $27,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 62,139 | $26,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 15,164 | $26,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 16,909 | $26,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 13,512 | $26,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 39,087 | $25,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 28,223 | $25,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,309 | $25,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 27,482 | $24,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 13,273 | $23,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 11,618 | $23,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 10,410 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 26,050 | $22,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 40,121 | $22,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 15,715 | $22,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 21,470 | $22,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 12,601 | $21,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 14,700 | $21,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 15,000 | $21,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 79,973 | $21,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 16,962 | $20,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 11,108 | $20,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 87,947 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 98,120 | $19,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,273 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 16,663 | $18,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 29,532 | $18,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 10,977 | $18,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 30,886 | $18,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 60,292 | $17,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 13,463 | $17,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,806 | $17,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,709 | $17,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 19,141 | $17,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 34,257 | $16,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 15,504 | $15,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,589 | $15,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 12,354 | $15,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 54,018 | $14,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 110,179 | $14,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 31,698 | $14,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 10,175 | $14,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 19,479 | $14,000 | thousands by filing date | |
| PARETEUM CORP COM | 69946T108 | Stock | 119,397 | $14,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 23,505 | $13,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 10,203 | $13,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 19,731 | $12,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 27,735 | $11,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 17,111 | $11,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 74,422 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 28,210 | $10,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 12,953 | $10,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 17,552 | $10,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 10,281 | $9,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 61,234 | $9,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 63,289 | $9,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 76,429 | $9,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 12,730 | $9,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 12,772 | $9,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 13,066 | $9,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 28,027 | $9,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 22,343 | $8,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 10,375 | $8,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 12,157 | $8,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 115,305 | $8,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 11,057 | $8,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 17,646 | $7,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 10,471 | $7,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 10,935 | $6,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 48,570 | $5,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 43,267 | $5,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 71,977 | $5,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 16,539 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 24,366 | $5,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 11,905 | $5,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 36,020 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,781 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 24,704 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 20,000 | $3,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 20,315 | $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 | 23,467 | $3,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 11,055 | $3,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 21,758 | $2,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 17,618 | $2,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 14,996 | $2,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 15,499 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,565 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,584 | $2,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 15,000 | $2,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,897 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,172 | $2,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 13,615 | $2,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,621 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 19,097 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,376 | $1,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,042 | $1,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 17,431 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,000 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 33,118 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-17-000005 | this filing | 2017-02-13 | acceptance time not in the bulk data set |