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Institutional Investment Manager
NORTHERN TRUST CORP
NORTHERN TRUST CORP (CIK: 0000073124) incorporated in Delaware, registered under State Commercial Banks, located at 50 S Lasalle St, Chicago, IL. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q2)
Portfolio Summary: 4,226 holdings with a total value of $308,046,202,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 31,947 0 0.00%
2 Dreyfus Mun Income Inc Com 14,800 1,000 0.00%
3 BLACKROCK MUNIENHANCED FD IN 10,144 1,000 0.00%
4 BOULDER GROWTH & INCOME FUND COM 11,000 1,000 0.00%
5 MORGAN STANLEY EM MKTS DM DE 16,666 1,000 0.00%
6 NUVEEN PREM INCOME MUN FD 2 11,645 1,000 0.00%
7 BLACKROCK MUNIHLDGS NY QLTY 14,172 2,000 0.00%
8 DREYFUS STRATEGIC MUNS INCORPORATED 25,606 2,000 0.00%
9 Nuveen Closed-End Funds/USA 15,647 2,000 0.00%
10 INVESCO VALUE MUN INCOME TR 13,169 2,000 0.00%
11 BLACKROCK MUNIYIELD FD INC 14,918 2,000 0.00%
12 NEUBERGER BERMAN INTER MUNI 10,000 2,000 0.00%
13 BLACKROCK MUNIHLDGS FD II IN 11,065 2,000 0.00%
14 BLACKROCK MUN INCOME TR 10,330 2,000 0.00%
15 BLACKROCK MUNIVEST FD INC 23,571 2,000 0.00%
16 NUVEEN SELECT TAX FREE INCM 10,000 2,000 0.00%
17 SUPERCONDUCTOR TECHNOLOGIES 11,593 2,000 0.00%
18 FORBES ENERGY SERVICES LTD 14,368 3,000 0.00%
19 NUVEEN MUN MKT OPPORTUNITY F 21,600 3,000 0.00%
20 NUVEEN OHIO QLTY MUN INCOME 15,622 3,000 0.00%
21 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 17,548 3,000 0.00%
22 NUVEEN PERFORMANCE PLUS MUNICIPAL FUND INC 21,718 3,000 0.00%
23 DEUTSCHE STRATEGIC 18,800 3,000 0.00%
24 INVESCO MUN TR 18,717 3,000 0.00%
25 INVESCO CALIF VALUE MUN INC 28,942 4,000 0.00%
26 FUNCTIONX INC NEW COM NEW 12,596 4,000 0.00%
27 STEMCELLS INC COM 10,970 4,000 0.00%
28 AMERICAN DG ENERGY INC 16,539 4,000 0.00%
29 DAKOTA PLAINS HOLDINGS INC 34,631 4,000 0.00%
30 BLACKROCK INVT QUALITY COM 22,000 4,000 0.00%
31 INVESCO ADVANTAGE MUN INCOME 29,963 4,000 0.00%
32 NUVEEN MUN VALUE FD INC 43,887 4,000 0.00%
33 SPDR SER TR 11,051 4,000 0.00%
34 TETRALOGIC PHARMA CO 12,716 4,000 0.00%
35 AG&E HLDGS INC 13,831 4,000 0.00%
36 NUVEEN INVT MN QTY I 22,910 4,000 0.00%
37 YUMA ENERGY INC 17,246 5,000 0.00%
38 CLAYMORE EXCHANGE TRD FD TR 24,366 5,000 0.00%
39 NUVEEN QUALITY MUNCP INCOME 32,175 5,000 0.00%
40 HOUSTON AMERN ENERGY CORP 24,704 5,000 0.00%
41 DOCUMENT SEC SYS INC COM 22,908 5,000 0.00%
42 BLACKROCK MUNIY MICHIGAN 37,643 6,000 0.00%
43 WESTERN ASSET MANAGED MUNS F 39,000 6,000 0.00%
44 ATOSSA GENETICS INC COM 22,677 6,000 0.00%
45 TRANSGENOMIC INC 11,055 6,000 0.00%
46 RELIV INTL INC COM NEW 11,333 7,000 0.00%
47 ENSYNC INC 19,479 7,000 0.00%
48 GLORI ENERGY INC 31,370 7,000 0.00%
49 LIQTECH INTL INC 12,157 7,000 0.00%
50 CLEAN DIESEL TECHNOLOGIES IN 20,218 7,000 0.00%
Page 1 of 85

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001256484-16-000044, filed 2016.08.12).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.