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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
101 VIKING THERAPEUTICS INC 16,962 24,000 0.00%
102 BARNWELL INDS INC 15,989 26,000 0.00%
103 NUVEEN MUN HIGH INCOME OPPOR 177,340 26,000 0.00%
104 SUMMER INFANT INC 12,239 26,000 0.00%
105 PROPHASE LABS INC 13,842 27,000 0.00%
106 TURTLE BEACH CORP COM 20,966 27,000 0.00%
107 FULL HOUSE RESORTS INC 14,885 27,000 0.00%
108 FIBROCELL SCIENCE INC 37,776 27,000 0.00%
109 TONIX PHARMACEUTICALS HOLDING 39,930 28,000 0.00%
110 OncoGenex Pharmaceuticals Inc 54,301 28,000 0.00%
111 LIVE VENTURES INC 14,521 28,000 0.00%
112 ISHARES TR 32,794 28,000 0.00%
113 SYPRIS SOLUTIONS INC COM 28,243 29,000 0.00%
114 Comstock Mining Inc 79,130 29,000 0.00%
115 COMMAND SEC CORP 10,643 29,000 0.00%
116 INTERMOLECULAR INC 29,630 29,000 0.00%
117 KOSS CORP 14,599 30,000 0.00%
118 IDENTIV INC 14,141 30,000 0.00%
119 SERVICENOW INC 25,000 30,000 0.00%
120 CELSION CORPORATION COM PAR 26,568 32,000 0.00%
121 B2GOLD CORP 12,141 32,000 0.00%
122 EMERSON RADIO CORP NEW 3/94 32,952 33,000 0.00%
123 SMITH MICRO SOFTWARE INC 16,348 34,000 0.00%
124 SIEBERT FINL CORP 24,918 34,000 0.00%
125 OCERA THERAPEUTICS INC 12,786 34,000 0.00%
126 NAVISTAR INTL CORP NEW SR SB CONV NT 19 37,000 34,000 0.00%
127 UNITED STATES ANTIMONY CORP 76,282 34,000 0.00%
128 BON-TON STORES INC 20,113 35,000 0.00%
129 MAST THERAPEUTICS INC COM 318,323 35,000 0.00%
130 CYTORI THERAPEUTICS INC 17,569 35,000 0.00%
131 NORTHWEST BIOTHERAPEUTICS 63,167 35,000 0.00%
132 FORM HLDGS CORP COM 12,891 35,000 0.00%
133 CEL SCI CORP 114,053 35,000 0.00%
134 LUNA INNOVATIONS 25,776 36,000 0.00%
135 IBIO INC COM 65,217 36,000 0.00%
136 PERNIX THERAPEUTICS HLDGS IN 57,209 36,000 0.00%
137 UQM TECHNOLOGIES INC COM 59,066 36,000 0.00%
138 UTSTARCOM HOLDINGS CORP SHS NEW 17,861 37,000 0.00%
139 U S GLOBAL INVS INC 19,747 37,000 0.00%
140 MAGNEGAS CORP 57,244 37,000 0.00%
141 MARRONE BIO INNOVATIONS INC 21,816 37,000 0.00%
142 CAFEPRESS INCORPORATED 11,586 37,000 0.00%
143 VICAL INCORPORATED COM NEW 12,643 38,000 0.00%
144 LIGHTPATH TECHNOLOGIES INC 21,387 38,000 0.00%
145 Marinus Pharmaceuticals Inc 21,108 38,000 0.00%
146 FIRST ACCEPTANCE CORP 37,760 38,000 0.00%
147 CHARLES & COLVARD LTD 32,972 39,000 0.00%
148 INTERSECTIONS INC COM 21,905 39,000 0.00%
149 GAFISA ADR RPSG 2 ORD 25,062 39,000 0.00%
150 RETRACTABLE TECHNOLOGIES INC 15,321 40,000 0.00%
Page 3 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.