13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 4,244 holding rows worth $394,860,550,000.
- Accession
- 0001256484-18-000003
- Filer
- CIK 73124
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A combination report, 15,500 entries on the cover page, a total value of $394,860,550,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $394,860,550,000 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 TRUST028-15333
- 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 |
|---|---|---|---|---|---|---|
| UQM TECHNOLOGIES INC | 903213106 | COM | 62,139 | $87,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 172,389 | $87,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 26,819 | $86,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 29,030 | $85,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 95,158 | $84,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 60,614 | $83,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 14,676 | $83,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 45,329 | $83,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 40,594 | $82,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 25,168 | $82,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 23,134 | $82,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 56,606 | $81,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 33,058 | $80,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 19,524 | $80,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 13,234 | $80,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 22,862 | $80,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 33,382 | $79,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 23,557 | $79,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 11,756 | $78,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 20,945 | $78,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 41,105 | $78,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 21,632 | $77,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 45,254 | $77,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,315 | $76,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 10,233 | $76,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 66,455 | $75,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 31,337 | $75,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 26,346 | $75,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 20,573 | $75,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 19,909 | $73,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 37,452 | $72,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 43,062 | $72,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 19,277 | $71,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 52,939 | $71,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 106,388 | $71,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 134,197 | $69,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 48,971 | $68,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 29,880 | $68,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 22,714 | $67,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 62,011 | $67,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 55,374 | $66,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 40,695 | $65,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 29,377 | $64,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 31,809 | $63,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 37,994 | $62,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 81,611 | $61,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 38,660 | $61,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 22,757 | $60,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 40,946 | $60,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 36,732 | $60,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 32,576 | $60,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 21,116 | $60,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 27,796 | $60,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 15,082 | $60,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 11,882 | $59,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 31,387 | $59,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 15,264 | $58,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 53,638 | $58,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 21,535 | $58,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 54,782 | $58,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 16,115 | $57,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 83,753 | $56,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 19,962 | $55,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 71,255 | $55,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 10,052 | $55,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 22,590 | $54,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 23,790 | $53,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 31,353 | $53,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 12,896 | $52,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 16,727 | $52,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 12,696 | $51,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 117,341 | $51,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 31,815 | $51,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 124,577 | $50,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 28,502 | $50,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 18,969 | $49,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 26,840 | $49,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 17,270 | $49,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 113,675 | $48,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 17,601 | $48,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 20,300 | $48,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 19,485 | $47,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 41,072 | $47,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 39,661 | $47,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 60,430 | $47,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 27,263 | $46,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 43,389 | $45,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 43,583 | $45,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 14,410 | $44,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 31,697 | $43,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 37,844 | $42,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 48,251 | $42,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 31,116 | $42,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 13,141 | $41,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 79,234 | $41,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 29,567 | $40,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 49,651 | $39,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 119,078 | $39,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 109,157 | $39,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 27,482 | $38,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 40,254 | $38,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 27,508 | $37,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 14,991 | $36,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 19,392 | $36,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 11,173 | $36,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 63,458 | $36,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 25,720 | $36,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 16,622 | $34,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 12,337 | $34,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 16,404 | $34,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 52,297 | $34,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,756 | $34,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 20,086 | $34,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 26,943 | $34,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 12,765 | $33,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 41,156 | $33,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 15,137 | $33,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 103,231 | $32,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 12,075 | $32,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 63,401 | $32,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 16,515 | $32,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,569 | $31,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 21,365 | $31,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 29,273 | $31,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 14,798 | $31,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 22,458 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 104,650 | $30,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 12,535 | $30,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 18,612 | $29,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 15,957 | $29,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 19,067 | $28,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 15,300 | $28,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 24,737 | $27,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 26,258 | $27,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 19,972 | $27,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 14,394 | $26,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 105,647 | $26,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 10,367 | $26,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 22,632 | $25,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 30,197 | $25,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 15,224 | $25,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 51,187 | $25,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 13,512 | $25,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 123,872 | $25,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 10,427 | $24,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 27,067 | $24,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 19,970 | $24,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,296 | $23,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,635 | $23,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 20,398 | $23,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 11,364 | $23,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 17,062 | $22,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 32,239 | $22,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 14,963 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 19,083 | $21,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 14,212 | $21,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 11,881 | $20,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 18,284 | $20,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 10,345 | $20,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 23,046 | $19,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 11,695 | $19,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 25,101 | $19,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 14,074 | $19,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 56,052 | $18,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 46,169 | $18,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 17,482 | $18,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 50,942 | $17,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 50,856 | $17,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 55,507 | $17,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 19,714 | $17,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 20,593 | $17,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 17,311 | $16,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 23,935 | $16,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 13,594 | $16,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 10,192 | $16,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,177 | $16,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 14,553 | $16,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $15,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 12,667 | $15,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 10,392 | $15,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 15,063 | $15,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 10,438 | $15,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 11,619 | $15,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 23,213 | $13,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,800 | $13,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 15,207 | $12,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 10,918 | $12,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 68,980 | $12,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 29,773 | $12,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 19,643 | $12,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 16,490 | $11,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 31,933 | $11,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 25,306 | $11,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 32,437 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 20,993 | $10,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 16,021 | $10,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 25,304 | $10,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 92,518 | $10,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 39,865 | $10,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 10,823 | $9,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 58,006 | $9,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 62,554 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 12,694 | $8,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 70,681 | $7,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 31,019 | $7,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 12,157 | $7,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 11,721 | $7,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 44,182 | $6,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 26,094 | $6,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 35,106 | $6,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 43,244 | $6,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 15,994 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 35,907 | $5,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 30,313 | $5,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 28,513 | $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 | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 23,467 | $4,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 16,007 | $4,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 21,134 | $3,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,363 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 16,220 | $3,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,806 | $3,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 14,033 | $3,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 23,110 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,580 | $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 | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 15,758 | $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 | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 20,800 | $2,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 10,606 | $2,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M102 | Stock | 18,589 | $2,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,800 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,386 | $1,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 12,205 | $1,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,000 | $1,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 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 | |
| JAGUAR HEALTH INC | 47010C201 | COM | 10,471 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 26,411 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-18-000003 | this filing | 2018-02-14 | acceptance time not in the bulk data set |