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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
4051 LUNA INNOVATIONS 25,776 36,000 0.00%
4052 UQM TECHNOLOGIES INC COM 59,066 36,000 0.00%
4053 Form holdings Corp 12,891 35,000 0.00%
4054 MAST THERAPEUTICS 318,323 35,000 0.00%
4055 CYTORI THERAPEUTICS INC 17,569 35,000 0.00%
4056 CEL SCI CORP 114,053 35,000 0.00%
4057 BON-TON STORES INC 20,113 35,000 0.00%
4058 NORTHWEST BIOTHERAPEUTICS INC 63,167 35,000 0.00%
4059 OCERA THERAPEUTICS INC 12,786 34,000 0.00%
4060 UNITED STATES ANTIMONY CORP 76,282 34,000 0.00%
4061 SMITH MICRO SOFTWARE INC 16,348 34,000 0.00%
4062 SIEBERT FINL CORP 24,918 34,000 0.00%
4063 NAVISTAR INTL CORP NEW 37,000 34,000 0.00%
4064 EMERSON RADIO CORP NEW 3/94 32,952 33,000 0.00%
4065 B2GOLD CORP 12,141 32,000 0.00%
4066 CELSION CORPORATION COM PAR $0.01 26,568 32,000 0.00%
4067 SERVICENOW INC 25,000 30,000 0.00%
4068 KOSS CORP 14,599 30,000 0.00%
4069 IDENTIV INC 14,141 30,000 0.00%
4070 STOCK MNG INC 79,130 29,000 0.00%
4071 SYPRIS SOLUTIONS INC COM 28,243 29,000 0.00%
4072 INTERMOLECULAR INC 29,630 29,000 0.00%
4073 COMMAND SEC CORP 10,643 29,000 0.00%
4074 LIVE VENTURES INC 14,521 28,000 0.00%
4075 ISHARES TR 32,794 28,000 0.00%
4076 OncoGenex Pharmaceuticals Inc 54,301 28,000 0.00%
4077 TONIX PHARMACEUTICALS HLD 39,930 28,000 0.00%
4078 FIBROCELL SCIENCE INC 37,776 27,000 0.00%
4079 PROPHASE LABS INC 13,842 27,000 0.00%
4080 TURTLE BEACH CORP COM 20,966 27,000 0.00%
4081 FULL HOUSE 14,885 27,000 0.00%
4082 NUVEEN MUN HIGH INCOME OPP FD COM 177,340 26,000 0.00%
4083 BARNWELL INDS INC 15,989 26,000 0.00%
4084 SUMMER INFANT 12,239 26,000 0.00%
4085 RF INDS LTD 13,167 24,000 0.00%
4086 HUGOTON ROYALTY 10,000 24,000 0.00%
4087 ALLIQUA BIOMEDICAL INC 30,341 24,000 0.00%
4088 VERSAR INC 15,124 24,000 0.00%
4089 VIKING THERAPEUTICS INC 16,962 24,000 0.00%
4090 PLURISTEM THERAPEUTICS INC 15,000 24,000 0.00%
4091 VANGUARD SCOTTSDALE FDS 27,727 23,000 0.00%
4092 Apricus Biosciences, Inc. 67,786 23,000 0.00%
4093 Enservco Corp 40,121 23,000 0.00%
4094 Violin Memory Inc 32,380 23,000 0.00%
4095 ISHARES TR 19,775 22,000 0.00%
4096 CROSSROADS CAP INC 12,455 22,000 0.00%
4097 CANCER GENETICS 12,368 22,000 0.00%
4098 CINEDIGM CORP 10,215 21,000 0.00%
4099 PARAMOUNT GOLD NEV CORP 10,669 21,000 0.00%
4100 AMEDICA CORP 22,334 21,000 0.00%
Page 82 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.