13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 4,258 holding rows worth $446,784,732,000.
- Accession
- 0001256484-20-000010
- Filer
- CIK 73124
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 16,047 entries on the cover page, a total value of $446,784,732,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $446,784,732,000 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 |
|---|---|---|---|---|---|---|
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 35,407 | $71,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 69,254 | $71,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 114,131 | $71,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 13,142 | $71,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 23,643 | $70,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 67,996 | $70,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 61,394 | $69,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 24,338 | $69,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 27,783 | $69,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 23,618 | $69,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 10,312 | $66,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 5,233 | $65,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 27,975 | $64,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 29,021 | $63,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 58,088 | $63,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 21,394 | $63,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 39,463 | $63,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 16,480 | $62,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 50,716 | $62,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 94,604 | $62,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 40,529 | $62,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 75,833 | $61,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 66,305 | $61,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 19,932 | $60,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 57,829 | $60,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 274,065 | $60,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 93,597 | $59,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 11,203 | $59,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 18,324 | $59,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 34,281 | $59,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 107,623 | $58,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 20,645 | $57,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 27,727 | $57,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 59,841 | $57,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 81,372 | $57,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 20,268 | $57,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 24,487 | $56,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 56,301 | $56,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 20,609 | $56,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 13,834 | $56,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 14,948 | $55,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 22,374 | $55,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 33,997 | $55,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 11,299 | $55,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 128,886 | $55,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 11,503 | $55,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 107,654 | $54,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 13,584 | $54,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 13,705 | $54,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 139,834 | $53,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 28,121 | $52,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 15,091 | $52,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 14,510 | $52,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 33,768 | $52,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 28,216 | $52,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 19,581 | $51,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 78,456 | $51,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 43,937 | $51,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 28,689 | $50,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 33,773 | $49,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 29,457 | $49,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 52,264 | $49,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 10,980 | $48,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 69,642 | $48,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 64,117 | $48,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 12,333 | $47,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 14,527 | $47,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,315 | $47,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 19,092 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 53,891 | $46,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 32,087 | $46,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 28,678 | $46,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 38,230 | $44,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 12,298 | $44,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 30,190 | $44,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 10,346 | $43,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 10,818 | $43,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 110,976 | $43,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 13,642 | $43,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 41,530 | $43,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 87,307 | $43,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 39,573 | $43,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 30,236 | $42,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 16,775 | $41,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 42,341 | $41,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 43,553 | $40,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 13,068 | $40,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 10,188 | $39,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 19,162 | $39,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 23,908 | $39,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 27,721 | $39,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 50,982 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 61,060 | $36,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 803 | $36,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 117,341 | $36,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 11,967 | $35,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 29,972 | $34,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 16,602 | $33,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 12,965 | $33,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 96,364 | $33,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 23,235 | $33,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 52,764 | $33,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 6,526 | $33,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 40,772 | $33,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 20,252 | $32,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 66,728 | $32,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 20,846 | $32,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 15,378 | $32,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 15,721 | $32,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 38,028 | $31,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 39,978 | $31,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 18,649 | $30,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 20,473 | $30,000 | thousands by filing date | |
| Taronis Technologies Inc Com New | 876214206 | Equity | 33,358 | $30,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 20,623 | $30,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 10,217 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 397 | $29,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 20,865 | $29,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,850 | $28,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 23,380 | $27,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 10,118 | $27,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 17,980 | $27,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 118,943 | $27,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 16,378 | $27,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 14,610 | $27,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 22,127 | $27,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 21,951 | $27,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 76,269 | $27,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 53,805 | $27,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 15,810 | $27,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 31,585 | $26,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 68,588 | $26,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 16,924 | $26,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 19,258 | $26,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 70,600 | $26,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 15,803 | $26,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 74,815 | $26,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 12,993 | $25,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 29,378 | $25,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 24,445 | $25,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 16,252 | $25,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 22,763 | $25,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 15,395 | $24,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 23,197 | $24,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 10,427 | $23,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 11,144 | $23,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 44,659 | $23,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $23,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 41,240 | $23,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 918 | $22,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 55,893 | $22,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 45,873 | $22,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 11,441 | $21,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 12,210 | $21,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 25,592 | $20,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 12,529 | $20,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 117,529 | $20,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 11,998 | $20,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 22,781 | $20,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 41,058 | $20,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 36,000 | $20,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 16,826 | $19,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 23,213 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 17,297 | $19,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 49,717 | $19,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 14,482 | $19,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 19,169 | $18,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 18,660 | $18,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 45,642 | $18,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 13,784 | $17,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 21,254 | $16,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 21,948 | $16,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 15,199 | $15,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 1,225 | $15,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 19,373 | $15,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 33,979 | $15,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 18,120 | $15,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 15,621 | $14,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 17,157 | $14,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 12,273 | $14,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 45,068 | $13,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 19,012 | $13,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 1,274 | $13,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 27,445 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 23,709 | $12,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 12,228 | $12,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 31,281 | $12,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 12,000 | $12,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 11,495 | $12,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 27,666 | $12,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 13,473 | $12,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 12,543 | $12,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 34,937 | $11,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 20,428 | $11,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 74,018 | $10,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 52,297 | $10,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 10,021 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 34,775 | $10,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 10,569 | $10,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 49,343 | $9,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,128 | $9,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 10,463 | $9,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 13,399 | $9,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 15,474 | $9,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 17,495 | $9,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 10,262 | $8,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 11,721 | $8,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 48,490 | $7,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 51,238 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 13,443 | $7,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 60,725 | $7,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 48,000 | $7,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 24,532 | $7,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 50,856 | $7,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,756 | $7,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 14,733 | $7,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 50,541 | $7,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 41,247 | $6,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 42,000 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 20,816 | $6,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,467 | $6,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 21,739 | $6,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 14,015 | $6,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 21,524 | $6,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 11,475 | $6,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 48,461 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 10,932 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 14,215 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 10,353 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 29,850 | $4,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 35,207 | $4,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 15,635 | $4,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 14,328 | $4,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 10,664 | $4,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 14,106 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 20,000 | $3,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 24,239 | $3,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 30,000 | $3,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 19,312 | $3,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 19,073 | $3,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 16,923 | $3,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 15,023 | $3,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 15,072 | $3,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 10,472 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,580 | $2,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 50,093 | $2,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 10,375 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 11,781 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,197 | $2,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 1,948 | $2,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 13,300 | $1,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 34,192 | $1,000 | 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 | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,319 | $1,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 17,500 | $1,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,000 | $1,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 16,132 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-20-000010 | this filing | 2020-02-14 | acceptance time not in the bulk data set |