NORTHERN TRUST CORP Information

50 S LASALLE ST, CHICAGO, Illinois, 60603, (312) 630-6000

Report Date: 09/30/2014

Position Statistics

Total Positions 4,378
New Positions 195
Increased Positions 2,345
Decreased Positions 1,906
Positions with Activity 4,251
Sold Out Positions 102
Total Mkt Value (in $ millions) 330,346

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 3.82%
Capital Goods 4.17%
Conglomerates 0.18%
Consumer Cyclical 3.92%
Consumer/Non-Cyclical 7%
Energy 6.46%
Financial 18.08%
Healthcare 11.51%
Services 18.9%
Technology 17.1%
Transportation 2.37%
Utilities 3.43%

102 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
DEUTSCHE BK AG RT -97 Sold Out 0
DEUTSCHE STRATEGIC MUN INCOME COM -186 Sold Out 0
DIVERSIFIED RSTRNT HLDGS INC COM -458 Sold Out 0
EAGLE BULK SHIPPING INC SHS NEW -25 Sold Out 0
EAGLE PHARMACEUTICALS INC COM -606 Sold Out 0
EPIRUS BIOPHARMACEUTICALS INC COM -21 Sold Out 0
EVRYWARE GLOBAL INC COM -59 Sold Out 0
FAB UNVL CORP COM -3 Sold Out 0
FIDELITY NATIONAL FINANCIAL IN CL A -67,372 Sold Out 0
FIDUS INVT CORP COM -1,610 Sold Out 0
FIRSTHAND TECH VALUE FD INC COM -1,154 Sold Out 0
FRANKLIN LTD DURATION INC TR COM -123 Sold Out 0
GARRISON CAP INC COM -687 Sold Out 0
GLADSTONE CAPITAL CORP COM -1,422 Sold Out 0
GLADSTONE INVT CORP COM -1,577 Sold Out 0
GSV CAP CORP COM -1,469 Sold Out 0
HORIZON TECHNOLOGY FIN CORP COM -971 Sold Out 0
INTELLICHECK MOBILISA INC COM NEW -7 Sold Out 0
ISHARES MSCI HONG KG ETF -210 Sold Out 0
ISHARES TR U.S. ENERGY ETF -168 Sold Out 0