13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-12, with 3,160 holding rows worth $36,055,584,000 by the sum of the rows.
- Accession
- 0001403438-16-000013
- Filer
- CIK 1403438
- Filed
- 2016-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 3,160 entries on the cover page, a total value of $366,055,584,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $36,055,584,000 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 cover page states a total of $366,055,584,000, 915% more than the sum of the rows, $36,055,584,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| POLYMET MINING CORP | 731916102 | COM | 106,220 | $90,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 12,344 | $89,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 11,994 | $89,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 13,553 | $89,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 19,750 | $87,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 14,504 | $87,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 11,024 | $86,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 13,800 | $85,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 46,000 | $85,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 18,850 | $84,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 13,400 | $84,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 28,550 | $81,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 12,998 | $80,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,930 | $79,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 29,725 | $79,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 19,800 | $72,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 42,000 | $71,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 23,944 | $70,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 12,390 | $70,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 13,766 | $70,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 10,226 | $70,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,800 | $69,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 21,735 | $68,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 28,370 | $68,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 10,000 | $67,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,900 | $67,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 10,300 | $66,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 53,831 | $66,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 52,000 | $66,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 17,806 | $65,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 17,290 | $64,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 23,851 | $62,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 81,024 | $62,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 11,324 | $62,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 10,532 | $58,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 29,170 | $57,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 10,804 | $57,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 13,320 | $56,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 13,000 | $54,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 13,860 | $54,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 10,562 | $53,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 11,736 | $53,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 44,000 | $53,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 46,000 | $52,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 26,890 | $50,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 12,000 | $49,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 15,314 | $47,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 118,400 | $47,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,900 | $45,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 10,000 | $45,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 10,622 | $45,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,042 | $45,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 16,000 | $44,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 36,000 | $44,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 25,514 | $43,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 33,000 | $43,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 29,004 | $42,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 24,000 | $42,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,000 | $42,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 14,440 | $41,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 60,500 | $41,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 21,612 | $41,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 24,991 | $40,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 16,000 | $40,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 64,000 | $40,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 18,920 | $39,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 15,344 | $39,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 39,000 | $39,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 21,523 | $39,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 21,063 | $39,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 14,340 | $38,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 40,000 | $38,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 20,014 | $38,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 14,200 | $37,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 20,000 | $37,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 14,316 | $36,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 36,540 | $36,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,600 | $36,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 10,000 | $34,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 11,000 | $34,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 40,000 | $34,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 330,000 | $33,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,214 | $32,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $32,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 40,000 | $32,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,000 | $31,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 26,520 | $31,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 32,997 | $30,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 90,200 | $29,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 11,504 | $29,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 19,126 | $29,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 11,116 | $28,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 25,681 | $28,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 20,000 | $28,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 40,000 | $27,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 25,200 | $27,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 11,078 | $27,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 12,000 | $26,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,712 | $25,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,900 | $24,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 16,360 | $23,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 136,100 | $22,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 12,270 | $20,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 51,118 | $20,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 20,000 | $20,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 18,600 | $18,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 15,000 | $18,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 32,160 | $18,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 20,000 | $18,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 17,200 | $18,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 19,024 | $17,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 11,050 | $17,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 10,000 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 21,250 | $17,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 24,985 | $17,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 29,976 | $17,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 14,388 | $17,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 14,000 | $16,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 23,980 | $16,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 21,641 | $16,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 10,020 | $16,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 28,374 | $15,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 10,476 | $14,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 15,180 | $14,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 12,200 | $13,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 11,000 | $13,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 77,502 | $13,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 14,786 | $13,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 10,000 | $13,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 38,038 | $12,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $12,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 75,522 | $11,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 16,000 | $11,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 13,521 | $10,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 43,586 | $8,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 13,000 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $7,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 11,200 | $7,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 26,600 | $7,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 10,170 | $7,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 14,582 | $6,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 12,000 | $6,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 67,928 | $5,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 20,000 | $5,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 12,304 | $5,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 28,784 | $5,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 17,000 | $5,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 14,000 | $5,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 80,000 | $5,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 12,000 | $4,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 11,000 | $4,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 12,462 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 64,000 | $3,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 12,132 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 10,000 | $3,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 19,200 | $3,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 19,434 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 18,000 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 180,182 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-16-000013 | this filing | 2016-02-12 | acceptance time not in the bulk data set |