13F-HR filed by NORTHERN TRUST CORP
NORTHERN TRUST CORP filed this 13F-HR for the quarter ended 2022-03-31, filed 2022-05-13, with 4,746 holding rows worth $568,440,701,000.
- Accession
- 0001256484-22-000013
- Filer
- CIK 73124
- Filed
- 2022-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2022
A combination report, 14,532 entries on the cover page, a total value of $568,440,701,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $568,440,701,000 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 filerAshmore Group plc028-14260
- 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
- reports for this filerMASSACHUSETTS FINANCIAL SERVICES CO /MA/028-04968
- reports for this filerJANUS HENDERSON GROUP PLC028-10904
- reports for this filerEARNEST PARTNERS LLC028-05269
- reports for this filerBoston Common Asset Management, LLC028-12579
- reports for this filerKBI Global Investors (North America) Ltd028-13513
- reports for this filerClearbridge Investments, LLC028-11611
- reports for this filerGrantham, Mayo, Van Otterloo & Co. LLC028-11599
- 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 |
|---|---|---|---|---|---|---|
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,617 | $58,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 40,157 | $58,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 89,472 | $58,000 | thousands by filing date | |
| SIO GENE THERAPIES INC | 829399104 | COM | 87,153 | $58,000 | thousands by filing date | |
| TRAWS PHARMA INC COM NEW | 68232V801 | Stock | 30,783 | $57,000 | thousands by filing date | |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 10,934 | $56,000 | thousands by filing date | |
| WIDEPOINT CORP | 967590209 | COMMON | 14,844 | $56,000 | thousands by filing date | |
| SURGEPAYS INC | 86882L204 | COM NEW | 13,688 | $56,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 20,705 | $56,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 11,135 | $55,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 83,688 | $55,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 14,672 | $55,000 | thousands by filing date | |
| VOLCON INC | 92864V103 | COM | 28,699 | $55,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 19,138 | $55,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 65,555 | $54,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 14,556 | $54,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 46,869 | $54,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 29,205 | $54,000 | thousands by filing date | |
| STATERA BIOPHARMA INC | 857561104 | COM | 171,110 | $54,000 | thousands by filing date | |
| SOCIETY PASS INC | 83370P102 | COM | 18,007 | $54,000 | thousands by filing date | |
| FAST RADIUS INC | 31187R100 | COMMON STOCK | 35,715 | $53,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 48,632 | $53,000 | thousands by filing date | |
| DSS INC | 26253C102 | COM | 91,649 | $53,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C607 | COM | 74,699 | $53,000 | thousands by filing date | |
| SONENDO INC | 835431107 | Common Stocks | 13,206 | $53,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 203,793 | $53,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 69,789 | $52,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 36,532 | $52,000 | thousands by filing date | |
| FRANKLIN WIRELESS CORP | 355184102 | COM | 12,762 | $51,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 20,015 | $51,000 | thousands by filing date | |
| ENSERVCO CORP | 29358Y201 | COM NEW | 18,920 | $51,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 46,161 | $50,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 12,038 | $50,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 168,172 | $50,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 36,949 | $50,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 200,949 | $50,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 10,057 | $50,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 14,324 | $49,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 23,658 | $49,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 28,276 | $49,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 84,131 | $49,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 108,830 | $48,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 25,713 | $48,000 | thousands by filing date | |
| Movano, Inc. | 62459M107 | common | 17,518 | $47,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 25,046 | $46,000 | thousands by filing date | |
| NEXTPLAY TECHNOLOGIES INC | 65344G102 | COM | 83,162 | $46,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 52,813 | $46,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 14,957 | $46,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 17,337 | $46,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 39,996 | $46,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 15,349 | $46,000 | thousands by filing date | |
| PROCESSA PHARMACEUTICALS INC COM NEW | 74275C205 | Stock | 15,401 | $46,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 14,016 | $45,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 37,770 | $45,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 54,668 | $45,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 199,497 | $45,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 202,000 | $44,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 25,874 | $44,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 25,453 | $44,000 | thousands by filing date | |
| AMPLITECH GROUP INC | 03211Q200 | COM | 12,652 | $43,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 66,068 | $43,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 12,371 | $43,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 18,175 | $43,000 | thousands by filing date | |
| DECIBEL THERAPEUTICS INC | 24343R106 | COM | 14,239 | $43,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 18,703 | $43,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 29,862 | $43,000 | thousands by filing date | |
| INHIBIKASE THERAPEUTICS INC | 45719W106 | COM | 28,872 | $43,000 | thousands by filing date | |
| CROWN ELECTROKINETICS CORP | 228339206 | COM NEW | 23,816 | $43,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC COM | 00484M601 | Stock | 26,628 | $43,000 | thousands by filing date | |
| MAMAS CREATIONS INC COM | 56146T103 | Stock | 24,889 | $42,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 29,829 | $42,000 | thousands by filing date | |
| GALECTO INC | 36322Q107 | COM | 19,006 | $42,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074404 | Stock | 14,830 | $42,000 | thousands by filing date | |
| REDBOX ENTERTAINMENT INC | 75724T103 | CMN | 17,807 | $42,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 33,068 | $41,000 | thousands by filing date | |
| INDAPTUS THERAPEUTICS INC (US) Old | 45339J105 | COM | 10,296 | $41,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 10,501 | $40,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 17,517 | $40,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 58,424 | $40,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 27,170 | $40,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 19,226 | $40,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 11,830 | $40,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 55,907 | $39,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 18,494 | $39,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 38,108 | $39,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 76090R101 | CMN | 33,426 | $39,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 22,010 | $38,000 | thousands by filing date | |
| KAIVAL BRNDS INNOVATNS GRP I | 483104204 | COM NEW | 26,095 | $37,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 74,267 | $37,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 51,116 | $37,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 211,312 | $37,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 43,100 | $36,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 31,306 | $36,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 15,423 | $36,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 13,359 | $35,000 | thousands by filing date | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 13,186 | $35,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 60,719 | $35,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 62,911 | $35,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 18,092 | $35,000 | thousands by filing date | |
| VIRPAX PHARMACEUTICALS INC | 928251107 | COM | 15,221 | $34,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 26,529 | $34,000 | thousands by filing date | |
| BETTER THERAPEUTICS INC COMMON | 08773T104 | COM | 16,703 | $33,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 24,537 | $33,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 47,277 | $33,000 | thousands by filing date | |
| US WELL SERVICES INC | 91274U200 | CL A NEW | 30,446 | $33,000 | thousands by filing date | |
| Sigma Additive Solutions, Inc. | 826598500 | common | 16,235 | $33,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 12,350 | $32,000 | thousands by filing date | |
| PLUS THERAPEUTICS INC | 72941H400 | COM | 32,089 | $32,000 | thousands by filing date | |
| AUDDIA INC | 05072K107 | COM | 15,712 | $32,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C408 | COM NEW | 13,215 | $32,000 | thousands by filing date | |
| SAFETY SHOT INC | 48208F105 | COM NEW | 28,047 | $31,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 39,414 | $31,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 117,417 | $31,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 21,490 | $31,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 50,624 | $31,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 37,414 | $30,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 14,196 | $30,000 | thousands by filing date | |
| WORKSPORT LTD | 98139q209 | COM | 11,436 | $30,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 28,526 | $30,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 144,816 | $30,000 | thousands by filing date | |
| INVO Bioscience, Inc. | 44984F302 | common | 11,408 | $30,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 11,656 | $30,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 34,007 | $29,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 16,572 | $29,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 20,553 | $29,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 64,749 | $29,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 15,314 | $29,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 12,511 | $29,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 90,923 | $29,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 40,577 | $29,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 43,253 | $29,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 118,779 | $29,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 53,727 | $28,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G201 | COM NEW | 62,521 | $28,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 34,671 | $28,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 11,813 | $28,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 35,122 | $27,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 31,533 | $27,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 136,047 | $27,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 26,853 | $26,000 | thousands by filing date | |
| Reviva Pharmaceuticals Holdings Inc | 76152G100 | Common Stock | 10,584 | $26,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 13,040 | $26,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 15,585 | $26,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 65,022 | $26,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 15,772 | $26,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 11,414 | $25,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 23,454 | $25,000 | thousands by filing date | |
| CUENTAS INC | 229794201 | COM | 19,534 | $25,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 63,378 | $25,000 | thousands by filing date | |
| PALISADE BIO INC | 696389105 | COM | 23,186 | $25,000 | thousands by filing date | |
| MINIM INC | 60365W102 | COM | 33,455 | $24,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 105,481 | $24,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 10,981 | $24,000 | thousands by filing date | |
| PERASO INC | 71360T101 | COM | 11,033 | $24,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 70,536 | $24,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 17,924 | $23,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 60,237 | $23,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 64,599 | $23,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 90,026 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 41,158 | $22,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 11,551 | $22,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 16,032 | $22,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 35,630 | $22,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 22,844 | $22,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 16,702 | $22,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 42,121 | $21,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 89,363 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 24,274 | $20,000 | thousands by filing date | |
| YATSEN HLDG LTD SPONSORED ADS | 985194109 | ADR | 30,022 | $20,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 16,104 | $20,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 29,636 | $20,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 25,671 | $19,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 26,755 | $19,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 21,752 | $18,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W501 | COM | 17,074 | $18,000 | thousands by filing date | |
| PROTAGENIC THERAPEUTICS INC | 74365N103 | COM | 22,485 | $18,000 | thousands by filing date | |
| OBLONG INC | 674434105 | COM | 26,845 | $18,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 44,142 | $18,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 17,760 | $18,000 | thousands by filing date | |
| NEUROONE MED TECHNOLOGIES CORP COM | 64130M209 | Stock | 15,376 | $17,000 | thousands by filing date | |
| NUWELLIS INC | 67113Y108 | COM | 16,938 | $17,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 43,615 | $16,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 20,010 | $15,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 17,155 | $15,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 15,835 | $14,000 | thousands by filing date | |
| GROM SOCIAL ENTERPRISES INC | 39878L308 | COM NEW | 12,982 | $14,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 12,036 | $13,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 20,197 | $13,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 11,564 | $13,000 | thousands by filing date | |
| CREATD INC | 225265107 | COM | 11,151 | $13,000 | thousands by filing date | |
| FIRST WAVE BIOPHARMA INC | 33749P101 | CMN | 11,889 | $13,000 | thousands by filing date | |
| STRYVE FOODS INC | 863685103 | CLASS A COM | 10,567 | $13,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 24,950 | $12,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 11,790 | $12,000 | thousands by filing date | |
| ENVERIC BIOSCIENCES INC | 29405E109 | COM NEW | 36,504 | $12,000 | thousands by filing date | |
| LGL GROUP INC | 50186A132 | *W EXP 11/16/202 | 22,155 | $11,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 23,606 | $11,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 32,094 | $11,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 16,639 | $10,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 18,328 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 29,714 | $9,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 77,861 | $9,000 | thousands by filing date | |
| SCOPUS BIOPHARMA INC | 809171101 | Equity | 12,516 | $9,000 | thousands by filing date | |
| ADITX THERAPEUTICS INC | 007025109 | COM | 19,163 | $9,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 13,391 | $8,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 59,922 | $8,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,777 | $8,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 28,322 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 30,483 | $7,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 57,000 | $7,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 10,788 | $7,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 13,767 | $7,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 32,171 | $6,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 27,296 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 24,262 | $6,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC | 40145Q401 | COM | 24,797 | $6,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 10,294 | $5,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 49,401 | $5,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 31,069 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 11,480 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 14,000 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L571 | ESG & CLM INVEST | 11,320 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 10,730 | $3,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 20,021 | $3,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 29,687 | $3,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 28,617 | $3,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 30,000 | $3,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 11,822 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 16,316 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,265 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 17,748 | $2,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 20,600 | $2,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 21,561 | $2,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 13,755 | $2,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 20,047 | $2,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 14,650 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 11,000 | $1,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,583 | $1,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 10,025 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,240 | $1,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 10,042 | $1,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C524 | INTRNL DEV JAN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SYNTAX ETF TR | 87166N304 | STRATIFIED SMCP | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001256484-22-000013 | this filing | 2022-05-13 | acceptance time not in the bulk data set |