13F-HR/A filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR/A for the quarter ended 2014-06-30, filed 2014-08-05, with 2,677 holding rows worth $17,166,593,000.
- Accession
- 0001403438-14-000009
- Filer
- CIK 1403438
- Filed
- 2014-08-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, amendment of type restatement, 2,677 entries on the cover page, a total value of $17,166,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $17,166,593,000 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 |
|---|---|---|---|---|---|---|
| NEUBERGER BERMAN ABSOLUTE RETU | 64128R855 | Equity Mutual Fu | 17,644 | $197,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 10,776 | $195,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 12,372 | $192,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 20,824 | $192,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 11,306 | $192,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 12,355 | $190,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 13,326 | $189,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 15,458 | $188,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 10,366 | $188,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 21,279 | $187,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 33,431 | $184,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 44,586 | $183,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 10,700 | $182,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 33,323 | $182,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 42,127 | $182,000 | thousands by filing date | |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 11,772 | $182,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 11,125 | $181,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 14,500 | $181,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 18,449 | $180,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 18,240 | $180,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 13,118 | $179,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 42,060 | $177,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 11,456 | $177,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 11,952 | $177,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 86,994 | $175,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 13,275 | $175,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 17,285 | $174,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,594 | $174,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 72,683 | $174,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 19,552 | $171,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 15,738 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 11,361 | $166,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 10,278 | $165,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 31,783 | $164,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 77,056 | $164,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 27,546 | $162,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 24,306 | $161,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 10,110 | $161,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 18,852 | $161,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 13,075 | $160,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 10,476 | $159,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 11,284 | $159,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 10,650 | $159,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 11,589 | $159,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 43,600 | $157,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 16,259 | $156,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 50,631 | $155,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 11,587 | $155,000 | 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 | 18,679 | $154,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 11,719 | $154,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,083 | $153,000 | thousands by filing date | |
| VIRTUS INSIGHT TR | 92828T889 | VIRTUS EMRG FD I | 14,759 | $153,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 10,721 | $152,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 36,137 | $151,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 10,486 | $150,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,696 | $149,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 46,340 | $149,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 14,968 | $148,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 18,894 | $148,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 11,199 | $148,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 18,000 | $145,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 11,632 | $143,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 19,700 | $142,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 19,276 | $141,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 12,376 | $139,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 21,313 | $137,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 13,113 | $135,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,733 | $132,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 44,848 | $132,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 14,357 | $132,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,635 | $131,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 11,263 | $131,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 12,000 | $129,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 13,966 | $128,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 10,265 | $128,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 19,255 | $127,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 15,536 | $126,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 34,301 | $125,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 14,543 | $122,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 14,600 | $122,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 13,477 | $121,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 13,279 | $119,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 11,905 | $118,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 11,438 | $117,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 10,615 | $117,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 18,434 | $114,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 40,653 | $113,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 28,876 | $113,000 | thousands by filing date | |
| Pimco Low Duration Fund Instit | 693390304 | COM | 10,853 | $113,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 14,683 | $112,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 32,777 | $111,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 26,031 | $111,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 12,963 | $111,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,857 | $108,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 29,218 | $108,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 14,966 | $105,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 12,223 | $104,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,586 | $101,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 15,120 | $96,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 19,100 | $96,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 20,850 | $96,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 23,862 | $94,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 10,700 | $92,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 16,793 | $92,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 85,000 | $89,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 11,358 | $88,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 40,287 | $83,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 21,922 | $82,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,025 | $80,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 13,550 | $76,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 18,165 | $75,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 23,482 | $75,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 10,000 | $75,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,404 | $74,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 17,505 | $74,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 12,627 | $73,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 47,173 | $70,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 10,590 | $70,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 12,740 | $65,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $64,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 10,620 | $64,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 11,701 | $62,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,962 | $61,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 13,000 | $58,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 16,723 | $56,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 37,769 | $56,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 15,663 | $54,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 10,607 | $51,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 16,525 | $48,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $47,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 24,050 | $45,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 15,541 | $43,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 45,200 | $39,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 17,700 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 10,500 | $39,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 29,000 | $39,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 15,793 | $38,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 16,800 | $38,000 | thousands by filing date | |
| TIGER MEDIA INC | G88685105 | SHS | 40,000 | $38,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,966 | $35,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 32,110 | $35,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,550 | $34,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,810 | $34,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 48,997 | $34,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 22,100 | $33,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 10,738 | $32,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $31,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $31,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 20,357 | $28,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 14,260 | $27,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 16,185 | $26,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 19,025 | $25,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 16,000 | $25,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 17,000 | $25,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $24,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,004 | $22,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 37,324 | $22,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 14,392 | $20,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $18,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 13,000 | $18,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 20,000 | $17,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,000 | $16,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 10,000 | $16,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,000 | $16,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 16,545 | $15,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $14,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 32,916 | $14,000 | 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 | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 16,000 | $9,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 24,830 | $7,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 99,280 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 12,973 | $6,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 20,000 | $4,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 11,050 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-14-000007 | superseded | 2014-08-05 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001403438-14-000009 | this filing | 2014-08-05 | acceptance time not in the bulk data set |