13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 4,292 holding rows worth $456,040,814,000.
- Accession
- 0001256484-20-000021
- Filer
- CIK 73124
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 16,569 entries on the cover page, a total value of $456,040,814,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $456,040,814,000 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
- reports for this filerMitsubishi UFJ Trust & Banking Corp028-13564
- reports for this filerMAR VISTA INVESTMENT PARTNERS LLC028-13243
- reports for this filerAXIOM INTERNATIONAL INVESTORS LLC /DE028-05615
- reports for this filerSEGALL BRYANT & HAMILL, LLC028-03381
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerCAUSEWAY CAPITAL MANAGEMENT LLC028-11728
- reports for this filerWELLINGTON MANAGEMENT GROUP LLP028-04557
- reports for this filerStrategic Global Advisors, LLC028-16442
- reports for this filerAshmore Group plc028-14260
- reports for this filerMaple-Brown Abbott Ltd028-17488
- reports for this filerWCM INVESTMENT MANAGEMENT, LLC028-07104
- reports for this filerWestwood Global Investments, LLC028-11863
- reports for this filerVICTORY CAPITAL MANAGEMENT INC028-06354
- reports for this filerARK Investment Management LLC028-17768
- reports for this filerAristotle Capital Management, LLC028-02634
- reports for this filerJANUS CAPITAL MANAGEMENT LLC028-01343
- reports for this filerARIEL INVESTMENTS, LLC028-04003
- 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 |
|---|---|---|---|---|---|---|
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 25,000 | $84,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 5,072 | $83,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 10,885 | $83,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 50,855 | $83,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 54,234 | $82,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 27,796 | $81,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 6,785 | $81,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 46,805 | $81,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 26,639 | $80,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 37,546 | $80,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 25,461 | $79,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 3,795 | $79,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 15,595 | $79,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 29,910 | $79,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 14,083 | $79,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 85,186 | $79,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 84,792 | $79,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 13,599 | $79,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 280,039 | $78,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 17,528 | $77,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 26,585 | $76,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 24,274 | $76,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 34,624 | $76,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 18,384 | $76,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 35,625 | $76,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 42,241 | $76,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 13,079 | $75,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 79,625 | $75,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 37,082 | $75,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 15,765 | $75,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 137,305 | $75,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 27,703 | $74,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 22,974 | $74,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 105,786 | $74,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 16,494 | $73,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 101,653 | $73,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 31,715 | $72,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 59,092 | $72,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 44,993 | $72,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 89,148 | $72,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 18,589 | $71,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 48,729 | $71,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 49,533 | $71,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 137,347 | $71,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 134,090 | $71,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 70,482 | $70,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 21,390 | $70,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 50,202 | $70,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 145,347 | $70,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 16,606 | $69,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 20,162 | $68,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 74,436 | $68,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 20,658 | $67,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 129,331 | $67,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 41,155 | $67,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 49,933 | $67,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 11,649 | $66,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 33,649 | $66,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 111,092 | $65,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 282,462 | $65,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 102,003 | $65,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 26,234 | $65,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 27,710 | $65,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 27,081 | $64,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 151,892 | $64,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 42,546 | $64,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 96,637 | $63,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 11,594 | $63,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 27,833 | $63,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 81,531 | $63,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 28,827 | $62,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 46,864 | $62,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 52,585 | $62,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 43,769 | $62,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 11,166 | $61,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 19,648 | $61,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 29,366 | $61,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 18,863 | $60,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 21,282 | $60,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 64,371 | $60,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 60,023 | $60,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 16,626 | $59,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 117,121 | $59,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 19,095 | $59,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 10,535 | $58,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 41,267 | $58,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 26,571 | $58,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 19,571 | $57,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 13,943 | $56,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 65,136 | $56,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 10,181 | $56,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 72,929 | $56,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 17,704 | $55,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 64,274 | $55,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 22,374 | $55,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 29,966 | $55,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 141,876 | $55,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 18,641 | $53,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 15,120 | $53,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 11,247 | $53,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 26,286 | $53,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 33,990 | $53,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 28,474 | $52,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 80,844 | $50,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 10,401 | $50,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 48,835 | $50,000 | thousands by filing date | |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 19,443 | $49,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 42,644 | $48,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 24,741 | $48,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 15,367 | $48,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 29,843 | $47,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 14,010 | $47,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 43,036 | $47,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 11,414 | $46,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 32,980 | $46,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 31,760 | $45,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 61,816 | $45,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 53,552 | $44,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 107,689 | $44,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 78,226 | $44,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 41,875 | $44,000 | thousands by filing date | |
| RESEARCH SOLUTIONS INC | 761025105 | CMN | 19,136 | $43,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 3,082 | $43,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 28,803 | $43,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 136,664 | $42,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,969 | $42,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,484 | $42,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 14,230 | $42,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 25,375 | $42,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 19,716 | $42,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC | 92836Y300 | COM | 29,700 | $41,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 66,670 | $41,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 10,955 | $40,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,610 | $40,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 33,965 | $40,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 30,547 | $39,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 53,001 | $39,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 36,090 | $39,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 12,538 | $38,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 32,831 | $37,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 30,986 | $37,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 101,397 | $37,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 26,952 | $36,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 41,374 | $35,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 26,752 | $35,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 15,538 | $34,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 41,489 | $34,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 31,413 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 28,919 | $33,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 143,702 | $33,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 13,711 | $33,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 21,953 | $32,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 192,724 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 52,244 | $31,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 12,298 | $31,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 19,850 | $31,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 132,204 | $31,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 25,085 | $31,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 154,248 | $31,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 10,046 | $30,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 12,863 | $30,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 24,487 | $30,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 92,115 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 33,469 | $29,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 34,138 | $29,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 29,538 | $29,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 21,749 | $28,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,393 | $28,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 10,535 | $28,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 25,387 | $28,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 19,540 | $28,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 23,118 | $28,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 29,896 | $27,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 21,352 | $27,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 25,643 | $27,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 19,768 | $27,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 11,974 | $27,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 61,504 | $27,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 371 | $26,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 10,721 | $26,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 17,024 | $26,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 15,165 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 205 | $25,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 14,148 | $25,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 22,798 | $25,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 30,865 | $25,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 13,862 | $25,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 35,761 | $25,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 4,381 | $24,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 41,915 | $24,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 18,532 | $24,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 62,471 | $24,000 | thousands by filing date | |
| AIKIDO PHARMA INC | 008875106 | COM | 38,835 | $24,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 11,793 | $24,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 11,144 | $23,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 16,403 | $23,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 4,665 | $23,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 15,874 | $23,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 21,164 | $23,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 42,702 | $22,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 12,824 | $22,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 23,296 | $22,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 39,674 | $22,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 23,531 | $21,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 16,982 | $21,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 14,245 | $21,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 49,906 | $21,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 28,322 | $21,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 28,342 | $21,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 61,022 | $21,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 28,662 | $21,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 13,399 | $21,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 34,273 | $20,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 22,110 | $20,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 71,142 | $20,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 511 | $20,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 78,149 | $20,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 82,717 | $20,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 22,855 | $20,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 11,470 | $20,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 57,411 | $20,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 12,380 | $19,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 13,965 | $19,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 22,129 | $19,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 18,966 | $18,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 44,119 | $18,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 20,171 | $18,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 20,782 | $18,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 12,751 | $18,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 10,784 | $18,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 15,571 | $17,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 12,441 | $17,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 35,267 | $16,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 107,211 | $16,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 7,767 | $16,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 57,578 | $16,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 12,248 | $16,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 27,426 | $16,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 10,146 | $15,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 17,120 | $15,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 22,312 | $15,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 133,193 | $15,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 24,781 | $15,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 21,250 | $14,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 28,507 | $14,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 19,483 | $14,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 19,897 | $14,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 20,289 | $14,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 44,318 | $13,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 29,305 | $12,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $12,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 10,217 | $12,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 22,961 | $12,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 10,093 | $11,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 16,112 | $11,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 39,155 | $11,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 17,281 | $11,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 21,172 | $10,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 69,476 | $10,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 998 | $10,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 63,776 | $9,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 11,704 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 16,409 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 894 | $8,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 12,756 | $8,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 19,220 | $8,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 11,277 | $7,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 54,879 | $6,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 42,331 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 15,318 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 34,210 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 23,780 | $5,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,241 | $5,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 933 | $5,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 17,044 | $5,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 16,054 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 28,708 | $4,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 12,926 | $4,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 1,127 | $3,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 21,500 | $2,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 15,677 | $2,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,633 | $2,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,642 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,197 | $2,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 13,334 | $2,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,583 | $1,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 13,996 | $1,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 10,000 | $1,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,000 | $1,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 2,004 | $1,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 122,013 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 15,987 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-20-000021 | this filing | 2020-11-16 | acceptance time not in the bulk data set |