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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 (2016Q3)
Portfolio Summary: 4,185 holdings with a total value of $321,055,856,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 32,197 0 0.00%
2 Dreyfus Mun Income Inc Com 14,800 1,000 0.00%
3 DREYFUS STRATEGIC MUNS INCORPORATED 15,000 1,000 0.00%
4 BOULDER GROWTH & INCOME FUND COM 11,000 1,000 0.00%
5 MORGAN STANLEY EM MKTS DM DE 17,047 1,000 0.00%
6 INVESCO VALUE MUN INCOME TR 10,000 2,000 0.00%
7 Nuveen Closed-End Funds/USA 15,647 2,000 0.00%
8 FORBES ENERGY SERVICES LTD 14,368 2,000 0.00%
9 BLACKROCK MUNI INCOME INV QL 15,499 2,000 0.00%
10 PIMCO DYNAMIC CR INCOME FD 10,000 2,000 0.00%
11 BLACKROCK MUNIVEST FD INC 17,876 2,000 0.00%
12 TETRALOGIC PHARMA CO 12,716 2,000 0.00%
13 BLACKROCK MUNIHLDGS NY QLTY 14,172 2,000 0.00%
14 BLACKROCK MUNIHLDGS FD II IN 11,065 2,000 0.00%
15 NEUBERGER BERMAN INTER MUNI 10,000 2,000 0.00%
16 BLACKROCK MUNIYIELD FD INC 10,225 2,000 0.00%
17 COSI INC SHS 47,357 3,000 0.00%
18 TRANSGENOMIC INC 11,055 3,000 0.00%
19 NUVEEN OHIO QLTY MUN INCOME 15,622 3,000 0.00%
20 AG&E HLDGS INC 13,831 4,000 0.00%
21 INVESCO ADVANTAGE MUN INCOME 29,963 4,000 0.00%
22 NUVEEN AMT FREE QLTY MUN INC 26,299 4,000 0.00%
23 NUVEEN MUN VALUE FD INC 34,737 4,000 0.00%
24 Wells Fargo Income Opportunities Fund 46,730 4,000 0.00%
25 BLACKROCK INVT QUALITY COM 22,000 4,000 0.00%
26 AMERICAN DG ENERGY INC 16,539 4,000 0.00%
27 BLACKROCK MUNIY MICHIGAN 23,467 4,000 0.00%
28 INTERPACE DIAGNOSTICS GROUP 28,831 4,000 0.00%
29 DOUBLELINE INCOME SOLUTIONS 20,000 4,000 0.00%
30 YUMA ENERGY INC 16,603 4,000 0.00%
31 SPDR SER TR 13,185 5,000 0.00%
32 CLAYMORE EXCHANGE TRD FD TR 24,366 5,000 0.00%
33 BLACKSTONE GSO STRATEGIC CR FD COM SHS BEN IN 35,000 5,000 0.00%
34 HOUSTON AMERN ENERGY CORP 24,704 5,000 0.00%
35 STRATA SKIN SCIENCES INC COM 11,491 6,000 0.00%
36 PROVECTUS BIOPHARMACEUTICALS I 60,000 6,000 0.00%
37 INVESCO MUN OPPORTUNITY TR 41,988 6,000 0.00%
38 WESTERN ASSET MANAGED MUNS F 39,000 6,000 0.00%
39 FIELDPOINT PETROLEUM CORP 12,772 7,000 0.00%
40 SPDR SERIES TRUST 18,764 7,000 0.00%
41 IGNITE RESTAURANT GROUP INCORPORATED 10,501 7,000 0.00%
42 ACTIVE POWER INC COM NEW 30,641 8,000 0.00%
43 NUVEEN QUALITY MUNCP INCOME 52,675 8,000 0.00%
44 Carbylan Therapeutics Inc. 20,537 9,000 0.00%
45 NUVEEN DIVID ADVANTAGE MUN FD COM SH BEN INT 59,760 9,000 0.00%
46 VANGUARD BD INDEX FDS 10,293 9,000 0.00%
47 GIGA TRONICS INC 10,321 9,000 0.00%
48 ASTERIAS BIOTHERAPEUTICS INC WT EXP 092917 17,548 10,000 0.00%
49 DYNASIL CORP AMER 10,111 10,000 0.00%
50 GENVEC INC 22,032 10,000 0.00%
Page 1 of 84

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001256484-16-000049, filed 2016.11.10).

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.