13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-12, with 4,274 holding rows worth $356,540,802,000.
- Accession
- 0001256484-19-000001
- Filer
- CIK 73124
- Filed
- 2019-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 16,167 entries on the cover page, a total value of $356,540,802,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $356,540,802,000 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 |
|---|---|---|---|---|---|---|
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 20,833 | $65,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 41,130 | $65,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 46,636 | $65,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 83,541 | $65,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 20,079 | $65,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 62,300 | $65,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 22,129 | $64,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 31,610 | $64,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 22,839 | $62,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 34,425 | $62,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 27,760 | $62,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 46,366 | $62,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 54,991 | $61,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 27,105 | $61,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 82,229 | $61,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 29,842 | $61,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 107,607 | $60,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 74,940 | $60,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 185,469 | $60,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 69,261 | $59,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 11,283 | $59,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 27,891 | $59,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 70,600 | $59,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 135,706 | $59,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 18,930 | $58,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 32,448 | $58,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 43,950 | $58,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 54,313 | $58,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 15,091 | $56,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 46,686 | $56,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 97,494 | $56,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 30,047 | $56,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 18,269 | $55,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 38,302 | $55,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 18,364 | $55,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 69,245 | $55,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 14,791 | $54,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 15,330 | $54,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 112,293 | $54,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 14,712 | $53,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 21,810 | $52,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 29,938 | $52,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 11,911 | $51,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 35,718 | $51,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 20,252 | $51,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 109,058 | $51,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 24,211 | $51,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 20,573 | $51,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 142,107 | $51,000 | thousands by filing date | |
| MAGNEGAS APPLIED TECHNLGY SO | 55939M101 | COM | 207,710 | $51,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 20,987 | $50,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 47,918 | $50,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 27,562 | $49,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,315 | $49,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 30,872 | $49,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 61,560 | $49,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 13,565 | $49,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 48,983 | $48,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 118,822 | $47,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 12,231 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 86,394 | $46,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 19,709 | $46,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 4,982 | $46,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 50,922 | $46,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 22,320 | $45,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 13,864 | $45,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 17,184 | $44,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 41,156 | $44,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 21,228 | $44,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 23,381 | $44,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 26,467 | $44,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 58,048 | $44,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 10,217 | $43,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 39,337 | $43,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 31,281 | $43,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 62,188 | $43,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 41,296 | $43,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 10,219 | $43,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 10,320 | $42,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 16,962 | $41,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 19,392 | $41,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 39,978 | $41,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 11,299 | $41,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 68,800 | $40,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 17,701 | $40,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 10,197 | $40,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 11,381 | $40,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 82,135 | $40,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 18,963 | $40,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 28,419 | $40,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 14,055 | $39,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 17,173 | $39,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 44,023 | $39,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 29,457 | $38,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 133,717 | $38,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 33,667 | $37,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 124,577 | $37,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 75,262 | $37,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 44,790 | $37,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 40,772 | $37,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 21,212 | $36,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 19,253 | $36,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 14,678 | $36,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 17,056 | $36,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 23,330 | $36,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 13,886 | $36,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,141 | $35,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 50,541 | $35,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 33,768 | $34,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 28,446 | $34,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 21,991 | $33,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 12,379 | $33,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $33,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 55,046 | $32,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 37,583 | $32,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 31,815 | $31,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 31,214 | $31,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 21,524 | $31,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 15,841 | $30,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 70,820 | $30,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,374 | $28,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 45,135 | $28,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 13,542 | $28,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 28,715 | $27,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 118,943 | $27,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 50,479 | $27,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 23,965 | $26,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 25,694 | $26,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 117,341 | $26,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 244,756 | $26,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 44,315 | $25,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 31,053 | $25,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 27,819 | $25,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 128,808 | $24,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 40,923 | $24,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 30,080 | $24,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 10,166 | $23,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 33,979 | $23,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 51,414 | $23,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 15,074 | $23,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 12,896 | $22,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 30,310 | $22,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 19,223 | $22,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E300 | COM NEW | 19,282 | $22,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 22,127 | $21,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 106,320 | $21,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 13,913 | $21,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 17,374 | $21,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 47,731 | $21,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 24,728 | $20,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 10,426 | $20,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 15,199 | $20,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 25,892 | $20,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 14,877 | $20,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 11,630 | $20,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 31,040 | $20,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 21,365 | $19,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 52,297 | $19,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 61,814 | $19,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 46,219 | $19,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 21,254 | $18,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 193,598 | $17,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,635 | $16,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 40,695 | $16,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 10,882 | $16,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 18,684 | $16,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 20,611 | $16,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 12,228 | $15,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 30,987 | $15,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 14,429 | $15,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 12,075 | $15,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 30,136 | $15,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 37,598 | $15,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 23,213 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 13,152 | $14,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 10,427 | $14,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 11,509 | $14,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 34,889 | $14,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 33,546 | $14,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 15,621 | $14,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 15,803 | $14,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 25,072 | $14,000 | thousands by filing date | |
| TROVAGENE INC COM PAR | 897238408 | Stock | 26,521 | $14,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 44,830 | $14,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 18,499 | $13,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 11,495 | $13,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 22,292 | $12,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 20,073 | $12,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 11,931 | $12,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 46,345 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 13,027 | $11,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 14,136 | $11,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 135,564 | $11,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 19,012 | $11,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 14,328 | $11,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 50,239 | $11,000 | thousands by filing date | |
| PRECISION THERAPEUTICS INC | 74033P100 | COM | 17,988 | $11,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 30,809 | $10,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 50,856 | $10,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 92,518 | $10,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 22,590 | $10,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 11,216 | $9,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 32,437 | $9,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,176 | $9,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 10,462 | $9,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 26,810 | $9,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,756 | $9,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 39,434 | $9,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 15,608 | $9,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 16,476 | $8,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 65,451 | $8,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 61,482 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,502 | $8,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 32,576 | $8,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 24,701 | $8,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 59,929 | $8,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 13,399 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 25,975 | $8,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 25,927 | $8,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 55,273 | $7,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 10,463 | $7,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 16,699 | $7,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 21,462 | $7,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,177 | $7,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 64,913 | $7,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 14,553 | $7,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 56,194 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 10,694 | $6,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 17,958 | $6,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $6,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 19,935 | $6,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 35,525 | $6,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 38,913 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 39,000 | $5,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 10,004 | $5,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 10,391 | $5,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 29,773 | $5,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 31,933 | $5,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,044 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 18,926 | $5,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 14,074 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,540 | $4,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 42,363 | $4,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 30,313 | $4,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 20,754 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 10,790 | $3,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,000 | $3,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 34,856 | $3,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 23,467 | $3,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 15,300 | $3,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 17,687 | $3,000 | thousands by filing date | |
| ALLIANCE MMA INC | 018626101 | COM | 19,870 | $3,000 | thousands by filing date | |
| ATTIS INDS INC | 049836109 | COM | 17,161 | $3,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 10,510 | $2,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 13,840 | $2,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,500 | $2,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 11,375 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 13,607 | $2,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 11,070 | $2,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 18,750 | $2,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 20,240 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 15,994 | $2,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 14,890 | $2,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 14,651 | $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 | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,580 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,065 | $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 | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 40,000 | $1,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,000 | $1,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 11,619 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 26,111 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-19-000001 | this filing | 2019-02-12 | acceptance time not in the bulk data set |