13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-16, with 2,631 holding rows worth $10,525,927,000.
- Accession
- 0001403438-16-000021
- Filer
- CIK 1403438
- Filed
- 2016-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 2,632 entries on the cover page, a total value of $10,525,927,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $10,525,704,000 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 |
|---|---|---|---|---|---|---|
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 15,435 | $122,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 10,462 | $120,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 10,891 | $120,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 17,489 | $119,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 25,112 | $119,000 | thousands by filing date | |
| PIMCO COMMODITY REAL RETURN STRATEGY FUND INSTITUTIONAL CLASS | 722005667 | OPEN END TAXABLE NO LOAD FUND | 16,810 | $118,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 14,549 | $117,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 14,110 | $117,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 12,318 | $117,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 37,281 | $116,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 27,139 | $116,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 14,409 | $115,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 10,652 | $115,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,847 | $114,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 13,107 | $113,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 24,792 | $111,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 18,285 | $108,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 10,120 | $106,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 25,319 | $106,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 12,163 | $105,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 11,578 | $105,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 32,746 | $105,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 14,592 | $104,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 13,550 | $104,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 19,307 | $104,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 15,566 | $104,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 25,090 | $104,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,803 | $103,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 17,529 | $103,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 12,200 | $102,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 100,000 | $102,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 12,244 | $102,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 11,450 | $101,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 10,074 | $101,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 11,880 | $101,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 23,479 | $100,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 71,035 | $99,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 21,850 | $98,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 12,143 | $98,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 16,474 | $97,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 10,235 | $97,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,496 | $94,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 22,883 | $93,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 15,034 | $90,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 11,266 | $89,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 10,720 | $87,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,452 | $87,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 60505146 | *W EXP 01/16/2019 | 18,429 | $87,000 | thousands by filing date | The CUSIP as filed is malformed. |
| KINROSS GOLD CORP | 496902404 | COM | 23,987 | $86,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 11,347 | $85,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 14,187 | $85,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 20,404 | $84,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 17,110 | $83,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 11,000 | $80,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 26,348 | $79,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 10,304 | $77,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 13,500 | $76,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,778 | $70,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 27,596 | $70,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 13,675 | $70,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 14,178 | $69,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 12,220 | $69,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 24,636 | $65,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 35,000 | $64,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,950 | $63,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 17,945 | $62,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 38,620 | $62,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 13,630 | $61,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,690 | $59,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 42,917 | $58,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 100,255 | $57,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 34,303 | $57,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 10,000 | $57,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 18,501 | $55,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $55,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 10,054 | $53,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 26,709 | $53,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 10,400 | $52,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,669 | $49,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 15,136 | $48,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 74,850 | $46,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 83,156 | $43,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 11,000 | $43,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 53,110 | $42,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 96,456 | $41,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 10,000 | $41,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 17,425 | $40,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,404 | $38,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 12,334 | $37,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 16,800 | $36,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 14,257 | $34,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $32,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 38,098 | $31,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 12,483 | $30,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 13,700 | $30,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $30,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 15,485 | $29,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $29,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 15,064 | $28,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,093 | $28,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $26,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 17,852 | $24,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 30,000 | $24,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 10,000 | $24,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 10,883 | $24,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 28,000 | $24,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 12,000 | $22,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $21,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 10,660 | $19,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $18,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,137 | $14,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 165,000 | $14,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 33,935 | $12,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,000 | $11,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 11,100 | $10,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 13,500 | $10,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 10,000 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 15,000 | $9,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,200 | $8,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 12,887 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 14,441 | $7,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 14,000 | $7,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,244 | $6,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 59,200 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 11,674 | $4,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 88,698 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 31,884 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 50,858 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-16-000021 | this filing | 2016-11-16 | acceptance time not in the bulk data set |