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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
51 CHANTICLEER HLDGS INC 17,646 10,000 0.00%
52 ImmunoCellular Therapeutics Lt 83,704 10,000 0.00%
53 LIQTECH INTL INC 12,157 10,000 0.00%
54 DS HEALTHCARE GROUP INC 17,419 11,000 0.00%
55 ORAGENICS INC COM NEW 23,505 11,000 0.00%
56 GORDMANS STORES INC 12,385 11,000 0.00%
57 DIVERSIFIED RSTRNT HLDGS INC COM 10,120 12,000 0.00%
58 INFOSONICS CORP 26,908 13,000 0.00%
59 JAGUAR ANIMAL HEALTH INC 10,471 13,000 0.00%
60 INSTITUTIONAL FINL MKTS INC 11,807 13,000 0.00%
61 NUVEEN INTER DURATION MN TMF 94,061 13,000 0.00%
62 NET ELEMENT INC 11,057 13,000 0.00%
63 CERULEAN PHARMA INC 12,523 13,000 0.00%
64 SUNSHINE HEART INC 25,016 14,000 0.00%
65 STEMCELLS INC COM 10,970 15,000 0.00%
66 SPDR SERIES TRUST 52,783 15,000 0.00%
67 SOLITARIO EXPL & RTY CORP COM 24,532 16,000 0.00%
68 MATEON THERAPEUTICS INC 25,499 16,000 0.00%
69 WAFERGEN BIO-SYSTEMS INC 19,522 16,000 0.00%
70 RAND LOGISTICS INC 20,587 16,000 0.00%
71 LANTRONIX INC 12,240 17,000 0.00%
72 PIMCO DYNAMIC INCOME FD 60,498 17,000 0.00%
73 ELEPHANT TALK COMM CORP 113,289 18,000 0.00%
74 PROTALIX BIOTHERAPEUTICS INC 31,098 18,000 0.00%
75 CONTRAVIR PHARMACEUTICALS IN 17,087 18,000 0.00%
76 CASI PHARMACEUTICALS INC COM 17,075 19,000 0.00%
77 ENSYNC INC 19,479 19,000 0.00%
78 BIOSTAGE INC 19,115 20,000 0.00%
79 FORWARD INDS INC N Y 13,335 20,000 0.00%
80 CONNECTURE INC 10,589 20,000 0.00%
81 ACURA PHARMACEUTICALS INC 12,845 20,000 0.00%
82 TORCHLIGHT ENERGY RES INC 18,709 20,000 0.00%
83 BIODEL INC 45,764 20,000 0.00%
84 AMEDICA CORP 22,334 21,000 0.00%
85 AEMETIS INC 19,438 21,000 0.00%
86 PARAMOUNT GOLD NEV CORP 10,669 21,000 0.00%
87 CINEDIGM CORP 10,215 21,000 0.00%
88 HEMISPHERX BIOPHARMA INC 16,971 21,000 0.00%
89 CANCER GENETICS 12,368 22,000 0.00%
90 ISHARES TR 19,775 22,000 0.00%
91 CROSSROADS CAP INC 12,455 22,000 0.00%
92 Apricus Biosciences, Inc. 67,786 23,000 0.00%
93 Violin Memory Inc 32,380 23,000 0.00%
94 VANGUARD SCOTTSDALE FDS 27,727 23,000 0.00%
95 Enservco Corp 40,121 23,000 0.00%
96 VERSAR INC 15,124 24,000 0.00%
97 HUGOTON RTY TR TEX 10,000 24,000 0.00%
98 ALLIQUA BIOMEDICAL INC 30,341 24,000 0.00%
99 RF INDS LTD 13,167 24,000 0.00%
100 PLURISTEM THERAPEUTICS INC 15,000 24,000 0.00%
Page 2 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.