13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-13, with 4,251 holding rows worth $417,741,002,000.
- Accession
- 0001256484-19-000017
- Filer
- CIK 73124
- Filed
- 2019-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 16,140 entries on the cover page, a total value of $417,741,002,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $417,741,002,000 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
- reports for this filerInteractive Financial Advisors028-12638
- included managerNORTHERN TRUST CO028-10495
- included managerNorthern Trust Investments, Inc028-10487
- included managerNORTHERN TRUST GLOBAL INVESTMENTS LTD028-10549
- included managerBelvedere Advisors LLC028-18905
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 |
|---|---|---|---|---|---|---|
| Emmis Communications Corp | 291525400 | COM | 13,864 | $69,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 95,410 | $68,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 29,198 | $68,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 31,315 | $68,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 33,517 | $68,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 17,850 | $68,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 10,312 | $67,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 130,709 | $67,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 79,975 | $67,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 21,988 | $66,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 187,094 | $66,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 705 | $65,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 15,660 | $65,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 20,695 | $65,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 35,518 | $64,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 27,783 | $64,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 29,427 | $63,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 21,096 | $63,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 14,075 | $63,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 111,596 | $63,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 44,145 | $63,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 274,065 | $63,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 10,426 | $62,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 5,255 | $61,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 21,789 | $61,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 15,643 | $61,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 10,559 | $61,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 43,950 | $61,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 20,023 | $60,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202,508 | $60,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 57,236 | $60,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 11,514 | $59,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 78,626 | $58,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 174,964 | $57,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,003 | $57,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 28,689 | $57,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 56,515 | $57,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 18,388 | $57,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 66,670 | $56,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 15,091 | $55,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 22,374 | $55,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 28,689 | $54,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 32,180 | $52,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 18,120 | $52,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 38,230 | $51,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 16,544 | $51,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 29,457 | $50,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 19,124 | $50,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 25,107 | $50,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 57,816 | $49,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 93,370 | $49,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 39,978 | $49,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 31,225 | $48,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 66,729 | $48,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 32,211 | $48,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 14,803 | $47,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 12,896 | $47,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 10,522 | $47,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 13,573 | $47,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 139,834 | $47,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 18,444 | $47,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 15,764 | $47,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 23,043 | $46,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 14,550 | $44,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 43,610 | $43,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 50,982 | $42,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 19,053 | $42,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 30,110 | $42,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 24,011 | $42,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 11,967 | $42,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 10,260 | $41,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 70,600 | $41,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 114,131 | $41,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 20,268 | $41,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,141 | $39,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 61,997 | $39,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 68,374 | $38,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 38,302 | $38,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 119,677 | $38,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 33,768 | $38,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 19,392 | $38,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 40,772 | $38,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 63,599 | $37,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,315 | $37,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 96,364 | $37,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 76,269 | $37,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 21,018 | $37,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 32,536 | $36,000 | thousands by filing date | |
| Taronis Technologies Inc Com New | 876214206 | Equity | 18,446 | $36,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 43,446 | $36,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 52,764 | $36,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 54,178 | $36,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 59,439 | $35,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 52,637 | $35,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 26,346 | $34,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 16,930 | $34,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 36,000 | $34,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 11,144 | $33,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 20,252 | $33,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 39,358 | $33,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 30,653 | $33,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 15,378 | $33,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 45,873 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 28,155 | $32,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 66,416 | $32,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 66,728 | $32,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 20,654 | $32,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 33,003 | $32,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 61,814 | $32,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 22,981 | $32,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 10,882 | $32,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 45,642 | $32,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 11,475 | $32,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 15,856 | $31,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 15,541 | $31,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 118,943 | $31,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 47,731 | $31,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 11,050 | $30,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 16,486 | $30,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 34,775 | $30,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 14,733 | $30,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 636 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 369 | $29,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 117,529 | $29,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 117,341 | $29,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 33,997 | $29,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 27,519 | $29,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 16,962 | $28,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 23,330 | $28,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $28,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 41,058 | $28,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 22,938 | $27,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 25,592 | $27,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 1,096 | $27,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 22,763 | $27,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 10,427 | $26,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 23,213 | $25,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 12,529 | $25,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 27,078 | $25,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 16,252 | $25,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 18,499 | $24,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 44,659 | $24,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 15,803 | $24,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 11,441 | $23,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 17,684 | $21,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 14,610 | $21,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 22,127 | $21,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 21,964 | $21,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 25,661 | $21,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 20,428 | $21,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 20,623 | $20,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 10,614 | $20,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 20,671 | $19,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 37,424 | $19,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 46,759 | $19,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 31,815 | $19,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 12,210 | $19,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 22,381 | $18,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 55,893 | $18,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 21,739 | $18,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 33,979 | $18,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 25,372 | $18,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 40,752 | $18,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 1,281 | $18,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 19,012 | $17,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 117,323 | $17,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 15,810 | $17,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 11,721 | $17,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 74,815 | $17,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 19,500 | $16,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 33,073 | $15,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 21,254 | $15,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 1,241 | $15,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 13,465 | $15,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 10,327 | $15,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 22,590 | $14,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 52,297 | $13,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 11,495 | $13,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 10,569 | $13,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 21,524 | $13,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 12,228 | $12,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 11,014 | $12,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 45,068 | $12,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 10,078 | $12,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 34,937 | $11,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 31,281 | $11,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,122 | $11,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 27,666 | $11,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 15,621 | $11,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E300 | COM NEW | 26,086 | $11,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 30,080 | $11,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 10,004 | $10,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 50,856 | $9,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 40,695 | $9,000 | thousands by filing date | |
| PREDICTIVE ONCOLOGY INC | 74039M101 | COM | 17,988 | $9,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 15,199 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 12,234 | $8,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 10,463 | $8,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 14,328 | $8,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 50,541 | $8,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 12,543 | $8,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 15,074 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 37,598 | $8,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 47,454 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 13,575 | $7,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $7,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 12,075 | $7,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 61,461 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 17,893 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 18,097 | $6,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 30,809 | $6,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,476 | $6,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,756 | $6,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 24,727 | $6,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,177 | $6,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 36,515 | $5,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 10,528 | $5,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,635 | $5,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 17,173 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 13,399 | $5,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 14,106 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 10,353 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 21,962 | $4,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 15,023 | $4,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 11,626 | $4,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 18,872 | $3,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 16,923 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 32,576 | $3,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 21,320 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 16,911 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,580 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,927 | $2,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 14,144 | $2,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 10,375 | $2,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,207 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,797 | $2,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,000 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 13,000 | $2,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 1,084 | $2,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 20,000 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 15,994 | $2,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,500 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,386 | $1,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,893 | $1,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 10,000 | $1,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 15,000 | $1,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 11,000 | $1,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 10,000 | $1,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 10,000 | $1,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 32,625 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 16,132 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-19-000017 | this filing | 2019-11-13 | acceptance time not in the bulk data set |