13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-16, with 3,102 holding rows worth $35,931,529,000.
- Accession
- 0001403438-16-000016
- Filer
- CIK 1403438
- Filed
- 2016-05-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 3,102 entries on the cover page, a total value of $35,931,529,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $35,931,529,000 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 |
|---|---|---|---|---|---|---|
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 13,950 | $52,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 11,736 | $52,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 10,532 | $51,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 21,591 | $49,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 23,887 | $49,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,812 | $47,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 23,790 | $47,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 27,916 | $47,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 16,000 | $46,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 40,000 | $46,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 127,582 | $45,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 24,590 | $45,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 58,196 | $44,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 18,570 | $44,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,000 | $44,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 118,400 | $43,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 14,674 | $43,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 13,060 | $42,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 56,000 | $42,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 15,314 | $41,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 36,346 | $41,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 24,000 | $40,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 21,612 | $40,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 330,000 | $40,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 10,000 | $38,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 28,514 | $37,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 20,000 | $36,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 11,000 | $36,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 14,000 | $35,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 41,006 | $35,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 127,510 | $33,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 10,784 | $33,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $32,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 49,658 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,000 | $30,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 17,000 | $30,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 14,316 | $29,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 46,000 | $29,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 28,374 | $29,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 26,620 | $28,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 38,480 | $27,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 11,326 | $27,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,000 | $27,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 14,000 | $27,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,920 | $26,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 21,874 | $26,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 14,200 | $26,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 16,000 | $26,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 14,000 | $25,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 80,604 | $25,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 30,002 | $23,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,900 | $23,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 90,200 | $22,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 27,456 | $22,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 28,000 | $22,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 10,000 | $21,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 10,000 | $21,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 20,000 | $21,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $20,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 20,000 | $20,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 16,000 | $19,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 20,000 | $19,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 23,768 | $18,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 12,586 | $18,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 29,156 | $15,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,052 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 13,600 | $15,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 25,687 | $13,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 11,000 | $12,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 19,800 | $12,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 19,960 | $12,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 26,878 | $12,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $12,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 21,066 | $11,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 10,200 | $10,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 14,560 | $10,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 43,586 | $10,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 26,520 | $10,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 10,020 | $10,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 20,000 | $10,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 12,700 | $10,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 16,000 | $9,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 10,540 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 15,650 | $8,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 13,000 | $8,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 13,399 | $8,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 21,230 | $8,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 26,600 | $7,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 14,786 | $6,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 12,304 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $5,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 14,582 | $5,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 13,980 | $5,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 12,000 | $5,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 28,784 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 11,000 | $4,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 17,000 | $4,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 18,044 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 54,054 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 180,182 | $1,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 94,734 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BPZ RESOURCES INC | 055ESC206 | Bond | 66,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-16-000016 | this filing | 2016-05-16 | acceptance time not in the bulk data set |