13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 4,258 holding rows worth $383,691,901,000.
- Accession
- 0001256484-17-000020
- Filer
- CIK 73124
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 15,538 entries on the cover page, a total value of $383,691,901,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $383,691,901,000 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
- reports for this filerKELLOGG W K FOUNDATION TRUST 028-15333
- 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 |
|---|---|---|---|---|---|---|
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 20,957 | $79,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 44,941 | $79,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 46,966 | $79,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 35,877 | $79,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 24,943 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 69,030 | $78,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 22,886 | $78,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 11,441 | $78,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 103,231 | $76,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,315 | $76,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 60,410 | $76,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 37,452 | $75,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 138,120 | $75,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 19,996 | $74,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 27,222 | $74,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 14,009 | $73,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 26,061 | $72,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 118,620 | $72,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 66,281 | $72,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 62,139 | $72,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 34,292 | $72,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 58,454 | $70,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 29,791 | $70,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 33,448 | $68,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 47,492 | $68,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 20,006 | $68,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 18,804 | $67,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 22,386 | $67,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 15,073 | $66,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 31,815 | $66,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 19,139 | $66,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 79,234 | $65,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 124,577 | $64,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 10,519 | $63,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 11,080 | $63,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 12,122 | $62,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 106,388 | $61,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 22,714 | $60,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 22,122 | $60,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 30,850 | $60,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 97,808 | $59,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 14,636 | $59,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 36,622 | $59,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 17,338 | $58,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 27,821 | $57,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 21,131 | $57,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 94,883 | $57,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 109,030 | $57,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 33,827 | $56,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 117,341 | $56,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 26,373 | $56,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 25,946 | $55,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 31,034 | $55,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 26,840 | $54,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 87,289 | $53,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 10,991 | $52,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 13,867 | $52,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 43,389 | $52,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 30,705 | $52,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 46,788 | $52,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 17,087 | $52,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 37,553 | $50,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 31,437 | $50,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 20,683 | $49,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 71,255 | $49,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 16,021 | $49,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 44,489 | $48,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 19,086 | $48,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 39,379 | $48,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 38,841 | $47,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 26,388 | $47,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 29,073 | $46,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 31,353 | $46,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 119,078 | $45,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 123,872 | $45,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 14,410 | $44,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 14,141 | $44,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 53,649 | $43,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 41,941 | $43,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 17,601 | $43,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 10,314 | $43,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 14,631 | $42,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 48,971 | $42,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 61,661 | $42,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 41,156 | $41,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 18,612 | $41,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 27,648 | $41,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 15,701 | $41,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 16,622 | $40,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 27,482 | $40,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 55,064 | $40,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 54,410 | $40,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 26,043 | $40,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 20,122 | $39,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 39,642 | $39,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 16,171 | $39,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 21,365 | $38,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 49,754 | $38,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,756 | $38,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 35,926 | $37,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 50,678 | $37,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 22,590 | $37,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 35,923 | $36,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 14,991 | $35,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,141 | $34,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 15,836 | $34,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 10,555 | $33,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 19,485 | $33,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 10,928 | $33,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 63,401 | $33,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 24,186 | $33,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 20,593 | $33,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 23,934 | $33,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 16,962 | $32,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 19,392 | $32,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 27,067 | $32,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 19,927 | $32,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 34,101 | $30,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,635 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 104,650 | $29,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 12,337 | $29,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 16,404 | $29,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 52,297 | $28,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 24,737 | $28,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 13,993 | $28,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 16,497 | $28,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 10,720 | $28,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 20,086 | $27,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 11,155 | $27,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 12,595 | $27,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 92,518 | $26,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 11,364 | $26,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 13,605 | $25,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,250 | $25,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 16,727 | $25,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 50,856 | $25,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 80,066 | $25,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 18,930 | $25,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 16,523 | $25,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 41,647 | $25,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 21,417 | $24,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 10,369 | $24,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 48,583 | $23,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 46,169 | $23,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 25,101 | $23,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 20,524 | $23,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 23,627 | $23,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 13,808 | $22,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 15,290 | $22,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 20,595 | $22,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,296 | $22,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 68,980 | $22,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 15,025 | $22,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 14,798 | $22,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 12,976 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 19,175 | $21,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 14,212 | $21,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 25,306 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 23,865 | $20,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 23,213 | $20,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 55,353 | $20,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 16,490 | $20,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 22,465 | $19,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 17,482 | $19,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 11,695 | $18,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 51,187 | $18,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 14,575 | $18,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 15,883 | $18,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 18,320 | $17,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 110,000 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 69,265 | $17,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $17,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 24,594 | $17,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 10,918 | $17,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 29,778 | $17,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 14,961 | $17,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 25,304 | $17,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 50,843 | $15,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 29,773 | $15,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 18,143 | $14,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 39,908 | $14,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 12,539 | $14,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 46,453 | $14,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,800 | $13,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 31,019 | $13,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 17,822 | $13,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 10,203 | $13,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 15,902 | $13,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 35,106 | $13,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 15,957 | $13,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 11,018 | $13,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 11,277 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 80,580 | $12,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 79,973 | $12,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 19,643 | $12,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 18,043 | $12,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 34,452 | $12,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 20,722 | $11,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 32,288 | $11,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 25,287 | $11,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 31,933 | $11,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 30,886 | $11,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 32,437 | $10,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 68,468 | $10,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 68,998 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 25,505 | $10,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 26,828 | $10,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 13,271 | $10,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 60,899 | $9,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 19,240 | $8,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 43,244 | $8,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,177 | $8,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 11,638 | $8,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 11,495 | $8,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,806 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 16,007 | $7,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203101 | COM | 14,376 | $7,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 13,057 | $6,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 54,076 | $6,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 44,182 | $6,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 11,724 | $6,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 19,731 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 35,907 | $5,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 32,300 | $5,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 14,033 | $5,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 10,345 | $5,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 28,692 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 12,530 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 12,396 | $4,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 47,369 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 23,467 | $4,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 12,772 | $4,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 12,157 | $4,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 33,386 | $3,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,363 | $3,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 23,110 | $3,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 10,606 | $3,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M102 | Stock | 18,589 | $3,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 15,034 | $2,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 15,232 | $2,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,083 | $2,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 12,205 | $2,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 15,758 | $2,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 10,482 | $2,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 15,500 | $2,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 11,061 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,065 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,172 | $2,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 10,639 | $2,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C201 | COM | 10,471 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,800 | $1,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 10,000 | $1,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 17,852 | $1,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 11,557 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,000 | $1,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 11,232 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 26,871 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-17-000020 | this filing | 2017-11-13 | acceptance time not in the bulk data set |