13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 4,652 holding rows worth $564,956,828,000.
- Accession
- 0001256484-21-000025
- Filer
- CIK 73124
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A combination report, 15,593 entries on the cover page, a total value of $564,956,828,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $564,956,828,000 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 filerFirst Sentier Investors (Australia) IM Ltd028-14423
- reports for this filerMAR VISTA INVESTMENT PARTNERS LLC028-13243
- 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 filerARIEL INVESTMENTS, LLC028-04003
- reports for this filerPOLEN CAPITAL MANAGEMENT LLC028-03687
- reports for this filerAXIOM INVESTORS LLC /DE028-05615
- 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 |
|---|---|---|---|---|---|---|
| TENAX THERAPEUTICS INC | 88032L209 | COM | 34,671 | $61,000 | thousands by filing date | |
| NEXTPLAY TECHNOLOGIES INC | 65344G102 | COM | 45,475 | $61,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 28,929 | $60,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 80,539 | $60,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 24,537 | $60,000 | thousands by filing date | |
| Movano, Inc. | 62459M107 | common | 17,518 | $60,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 19,226 | $60,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 18,092 | $59,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 22,844 | $59,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 10,170 | $58,000 | thousands by filing date | |
| STATERA BIOPHARMA INC | 857561104 | COM | 24,943 | $58,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 20,148 | $57,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 16,639 | $57,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 36,514 | $56,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 38,108 | $56,000 | thousands by filing date | |
| CUENTAS INC | 229794201 | COM | 19,534 | $56,000 | thousands by filing date | |
| OBLONG INC | 674434105 | COM | 26,845 | $56,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 43,253 | $56,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 13,787 | $55,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,221 | $55,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 60,237 | $55,000 | thousands by filing date | |
| MOSYS INC | 619718307 | COM | 11,033 | $55,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 42,121 | $55,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 139,040 | $55,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 66,068 | $54,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 11,651 | $54,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 25,187 | $54,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 51,116 | $54,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 45,263 | $53,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 16,104 | $53,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 17,517 | $52,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 34,732 | $51,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 27,067 | $51,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 11,564 | $50,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $50,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 27,170 | $50,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 15,585 | $50,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 17,324 | $49,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G201 | COM NEW | 62,521 | $49,000 | thousands by filing date | |
| RELIANCE GLOBAL GROUP INC | 75946W207 | COM | 18,754 | $49,000 | thousands by filing date | |
| Sigma Additive Solutions, Inc. | 826598500 | common | 16,235 | $49,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 70,536 | $49,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 32,094 | $48,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 11,551 | $47,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202,000 | $47,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C408 | COM NEW | 13,215 | $47,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 43,100 | $46,000 | thousands by filing date | |
| AMPLITECH GROUP INC | 03211Q200 | COM | 12,652 | $45,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 27,142 | $45,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 13,718 | $45,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 64,599 | $45,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 78,825 | $44,000 | thousands by filing date | |
| Reviva Pharmaceuticals Holdings Inc | 76152G100 | Common Stock | 10,584 | $43,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 16,660 | $43,000 | thousands by filing date | |
| NUWELLIS INC | 67113Y108 | COM | 19,643 | $43,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 15,423 | $43,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 17,978 | $42,000 | thousands by filing date | |
| PROTAGENIC THERAPEUTICS INC | 74365N103 | COM | 22,485 | $42,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 36,472 | $42,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 47,277 | $42,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 11,813 | $42,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W501 | COM | 17,320 | $40,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 54,502 | $40,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 22,010 | $39,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 30,074 | $38,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 25,814 | $38,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 64,749 | $38,000 | thousands by filing date | |
| AUDDIA INC | 05072K107 | COM | 15,712 | $38,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 44,142 | $38,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 12,511 | $37,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 35,118 | $37,000 | thousands by filing date | |
| INVO Bioscience, Inc. | 44984F302 | common | 11,408 | $37,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 25,671 | $36,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 12,038 | $36,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 16,602 | $36,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 16,702 | $36,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 17,760 | $36,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 11,656 | $36,000 | thousands by filing date | |
| MAMAS CREATIONS INC COM | 56146T103 | Stock | 13,628 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 35,606 | $33,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 79,947 | $33,000 | thousands by filing date | |
| FIRST WAVE BIOPHARMA INC | 33749P101 | CMN | 11,889 | $33,000 | thousands by filing date | |
| NULL | 84862C203 | NULL | 15,763 | $32,000 | thousands by filing date | |
| MINIM INC | 60365W102 | COM | 17,326 | $32,000 | thousands by filing date | |
| ADITX THERAPEUTICS INC | 007025109 | COM | 19,163 | $32,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 10,981 | $32,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637113 | SHS | 27,243 | $32,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 23,653 | $31,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC | 40145Q401 | COM | 24,797 | $31,000 | thousands by filing date | |
| INHIBIKASE THERAPEUTICS INC | 45719W106 | COM | 15,714 | $30,000 | thousands by filing date | |
| CREATD INC | 225265107 | COM | 11,151 | $30,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 31,533 | $30,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 15,772 | $28,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 33,462 | $27,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 31,835 | $27,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 123,748 | $27,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 11,587 | $27,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 51,750 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 40,578 | $24,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 16,032 | $24,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 43,308 | $23,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 20,010 | $23,000 | thousands by filing date | |
| 17 ED & TECHNOLOGY GROUP INC | 81807M106 | ADS | 25,960 | $23,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 51,545 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 26,080 | $22,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 23,585 | $22,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 15,835 | $22,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 10,788 | $21,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 13,767 | $21,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 35,338 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 15,581 | $20,000 | thousands by filing date | |
| SAFETY SHOT INC | 48208F105 | COM NEW | 14,311 | $20,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 1,651 | $19,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 19,599 | $18,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 28,322 | $18,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 118,999 | $17,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 11,414 | $16,000 | thousands by filing date | |
| LGL GROUP INC | 50186A132 | *W EXP 11/16/202 | 21,000 | $16,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 11,790 | $15,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,777 | $14,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 14,037 | $14,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 68,942 | $11,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 77,861 | $11,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 68,900 | $10,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 1,008 | $10,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 57,139 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 28,200 | $9,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 12,423 | $8,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 55,200 | $8,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 27,847 | $7,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 17,743 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 10,248 | $5,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 49,450 | $5,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 27,050 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 27,040 | $4,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 30,183 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 22,085 | $4,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 21,561 | $3,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 21,750 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 10,018 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 19,695 | $3,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 11,822 | $2,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,000 | $2,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,000 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,241 | $2,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 20,592 | $2,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 13,691 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 12,800 | $2,000 | thousands by filing date | |
| BLOOMIA HOLDINGS INC | 45765Y204 | COM NEW | 213 | $2,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 12,000 | $2,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 14,650 | $1,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,583 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-21-000025 | this filing | 2021-11-15 | acceptance time not in the bulk data set |