13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-12, with 2,637 holding rows worth $16,271,106,000.
- Accession
- 0001403438-14-000005
- Filer
- CIK 1403438
- Filed
- 2014-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 2,637 entries on the cover page, a total value of $16,271,106,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,271,106,000 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 |
|---|---|---|---|---|---|---|
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,710 | $162,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 15,632 | $159,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 11,349 | $159,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 10,365 | $158,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 11,284 | $157,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 10,486 | $156,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 24,186 | $155,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 10,115 | $155,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 22,531 | $155,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 11,148 | $153,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 15,720 | $152,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 12,500 | $151,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 21,092 | $150,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 11,887 | $150,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 50,812 | $150,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,024 | $149,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 10,931 | $149,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 21,522 | $149,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 10,105 | $144,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 15,050 | $144,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 11,199 | $144,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 11,480 | $143,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 10,610 | $141,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 16,717 | $139,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 41,600 | $139,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,850 | $137,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 11,350 | $136,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 13,113 | $134,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 26,660 | $134,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 12,680 | $133,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 16,626 | $133,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 12,000 | $132,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 10,762 | $131,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 13,946 | $128,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,733 | $127,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 49,206 | $123,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,625 | $121,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 12,159 | $120,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 14,381 | $120,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 12,347 | $115,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 10,306 | $112,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 20,117 | $112,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 29,370 | $111,000 | thousands by filing date | |
| GLIMCHER RLTY TR | 379302102 | SH BEN INT | 10,974 | $110,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 13,242 | $109,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 13,223 | $108,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 33,490 | $108,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 15,384 | $105,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 10,950 | $104,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 15,767 | $102,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 12,817 | $102,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,274 | $102,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 23,172 | $100,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,006 | $99,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 13,752 | $98,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 17,787 | $94,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,466 | $92,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 12,996 | $89,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CF5 | NOTE 4.250%12/1 | 50,000 | $89,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 11,429 | $89,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 15,230 | $88,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 12,847 | $87,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 13,484 | $86,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 18,250 | $83,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 23,862 | $83,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 13,973 | $83,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $82,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 47,173 | $82,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 44,675 | $79,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 40,687 | $78,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 10,000 | $75,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 19,891 | $72,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 17,023 | $68,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 10,400 | $68,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 14,225 | $67,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 80,000 | $67,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,157 | $65,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 19,633 | $65,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 15,990 | $64,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 12,830 | $63,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,200 | $60,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 13,699 | $59,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 16,427 | $58,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 20,050 | $57,000 | thousands by filing date | |
| TIGER MEDIA INC | G88685105 | SHS | 42,500 | $57,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 19,846 | $56,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 10,000 | $51,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 15,323 | $51,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 10,700 | $49,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 11,178 | $49,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 16,525 | $48,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 13,931 | $46,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 14,692 | $45,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 32,060 | $44,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38143UTC5 | CNV | 30,000 | $44,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 15,793 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $43,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,810 | $41,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 16,800 | $40,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 48,997 | $38,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 15,309 | $38,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,306 | $36,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 29,000 | $36,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 16,000 | $34,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 42,816 | $34,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $33,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 23,860 | $33,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 19,025 | $32,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 15,100 | $32,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 10,541 | $31,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 37,769 | $31,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $31,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 17,000 | $31,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $31,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 21,200 | $29,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 14,260 | $27,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 17,700 | $25,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 22,462 | $25,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 16,545 | $22,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 28,434 | $21,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 15,392 | $20,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 13,004 | $19,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 20,000 | $17,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 10,000 | $16,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 32,916 | $16,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,000 | $15,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $14,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,000 | $13,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $12,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 12,000 | $12,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 16,000 | $12,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $11,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 99,834 | $6,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 20,000 | $5,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 13,767 | $4,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 11,050 | $4,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 16,884 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-14-000005 | this filing | 2014-05-12 | acceptance time not in the bulk data set |