13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 2,644 holding rows worth $16,015,166,000.
- Accession
- 0001403438-14-000002
- Filer
- CIK 1403438
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 2,644 entries on the cover page, a total value of $16,015,166,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,015,166,000 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 |
|---|---|---|---|---|---|---|
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 12,826 | $159,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 18,211 | $159,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 16,838 | $158,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 17,477 | $156,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 145,000 | $156,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 15,632 | $154,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 19,309 | $154,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 10,218 | $154,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 31,725 | $153,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 10,079 | $152,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 41,600 | $152,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 14,373 | $147,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 10,207 | $147,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 50,746 | $147,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 19,258 | $144,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 101,091 | $143,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 12,065 | $142,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 10,466 | $142,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 10,357 | $141,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 21,436 | $141,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 12,118 | $140,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,000 | $139,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 35,997 | $139,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 13,613 | $138,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 11,341 | $138,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 14,459 | $136,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 12,933 | $135,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 13,933 | $133,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 10,256 | $132,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 10,741 | $131,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 16,637 | $130,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,097 | $130,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 22,327 | $128,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 28,862 | $127,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,400 | $126,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,425 | $126,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 10,531 | $125,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 23,410 | $125,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 11,446 | $124,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 20,458 | $124,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 14,775 | $122,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 10,291 | $122,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 12,000 | $122,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 10,196 | $120,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 16,626 | $120,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 15,192 | $119,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,536 | $118,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 19,621 | $117,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 14,824 | $117,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 14,578 | $116,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 12,673 | $115,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 13,259 | $113,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 14,842 | $113,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 26,886 | $111,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 15,442 | $108,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 16,890 | $107,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 11,599 | $107,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 12,287 | $105,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,625 | $101,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 16,958 | $101,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 15,000 | $100,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 12,263 | $96,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 13,044 | $95,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 18,250 | $93,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 12,900 | $92,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 11,512 | $92,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 13,752 | $90,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $89,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 15,672 | $88,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 13,098 | $88,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CF5 | NOTE 4.250%12/1 | 50,000 | $87,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 16,308 | $85,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 23,862 | $85,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 12,847 | $85,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 11,250 | $82,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 30,330 | $82,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 76,000 | $80,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 14,990 | $78,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,506 | $77,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,255 | $75,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 11,362 | $71,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,000 | $68,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 17,223 | $67,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 26,088 | $66,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 23,250 | $66,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 15,200 | $66,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 60,000 | $64,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 11,066 | $62,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 12,940 | $61,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 10,000 | $58,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,164 | $58,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 32,360 | $58,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 44,500 | $57,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 11,099 | $56,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 21,793 | $56,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 15,000 | $56,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 10,000 | $55,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 37,487 | $53,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,810 | $53,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 12,000 | $53,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 13,419 | $53,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 44,750 | $52,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 12,400 | $49,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 16,591 | $48,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 12,225 | $47,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 23,800 | $47,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 18,619 | $47,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 16,884 | $46,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 11,950 | $45,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,283 | $44,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,934 | $43,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 80,000 | $40,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 22,322 | $39,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 12,330 | $38,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 11,320 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 13,325 | $34,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 11,999 | $32,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 10,300 | $31,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 10,230 | $31,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $31,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $31,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 21,200 | $29,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY COM | 02554F102 | COM | 13,238 | $27,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 13,025 | $26,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 28,434 | $26,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 23,860 | $22,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,000 | $20,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 14,260 | $20,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 46,916 | $19,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 17,700 | $18,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 12,124 | $18,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 14,004 | $17,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 16,600 | $16,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 10,000 | $14,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 22,462 | $13,000 | 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 | |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 10,000 | $11,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 10,000 | $10,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 13,039 | $4,000 | 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 | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 20,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-14-000002 | this filing | 2014-02-13 | acceptance time not in the bulk data set |