13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-04, with 2,535 holding rows worth $15,023,436,000.
- Accession
- 0001403438-13-000010
- Filer
- CIK 1403438
- Filed
- 2013-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 2,535 entries on the cover page, a total value of $15,023,436,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,023,436,000 with VALUE read as thousands by filing date, 13F file number 028-12526. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| HECLA MNG CO | 422704106 | COM | 13,484 | $42,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 44,500 | $42,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $42,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 10,000 | $41,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 58,078 | $40,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 17,400 | $40,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 19,975 | $40,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 11,020 | $37,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 11,999 | $33,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 10,006 | $30,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 22,925 | $29,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $29,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 20,600 | $28,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 13,025 | $27,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 13,016 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,325 | $25,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 47,050 | $24,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 16,800 | $21,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 14,260 | $20,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 22,830 | $19,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 19,000 | $19,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 16,500 | $17,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 16,004 | $16,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 16,750 | $16,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 12,000 | $12,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 37,769 | $12,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 14,124 | $11,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 10,000 | $10,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 10,000 | $10,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 10,000 | $10,000 | thousands by filing date | |
| CHINA MARINE | 16943R106 | COM | 16,000 | $8,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $7,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 35,000 | $6,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 11,050 | $4,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-13-000010 | this filing | 2013-11-04 | acceptance time not in the bulk data set |