13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-07, with 3,070 holding rows worth $37,596,833,000.
- Accession
- 0001403438-19-000002
- Filer
- CIK 1403438
- Filed
- 2019-02-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 3,070 entries on the cover page, a total value of $37,596,833,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $37,596,833,000 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 |
|---|---|---|---|---|---|---|
| PENNEY J C INC | 708160106 | COM | 54,958 | $57,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 34,003 | $56,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 15,984 | $55,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,702 | $54,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 14,650 | $50,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 11,912 | $49,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 55,000 | $49,000 | thousands by filing date | principal |
| Bowater Inc | 09066L105 | COMMON STOCKS | 51,504 | $47,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 10,872 | $46,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 22,478 | $45,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 14,135 | $45,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 63,000 | $45,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 110,243 | $44,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 12,234 | $42,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,800 | $38,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 16,890 | $37,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 17,277 | $37,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 11,804 | $35,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 12,780 | $35,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 15,490 | $35,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 35,000 | $34,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 26,000 | $33,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 42,297 | $32,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 16,700 | $32,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 13,500 | $31,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 58,285 | $31,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 28,240 | $27,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $26,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,825 | $25,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 13,621 | $25,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 37,630 | $24,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,300 | $24,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 25,000 | $24,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 53,988 | $23,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 13,068 | $23,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,197 | $20,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 15,500 | $20,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,400 | $20,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 13,007 | $20,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $20,000 | thousands by filing date | principal |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 18,342 | $19,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 18,167 | $18,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 19,000 | $17,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 41,615 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 21,441 | $16,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 27,900 | $14,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,431 | $13,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 26,787 | $12,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 11,625 | $11,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 10,610 | $9,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 20,335 | $9,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,700 | $8,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,926 | $8,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 10,950 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,010 | $7,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 18,762 | $7,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 13,000 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 10,000 | $6,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 27,655 | $5,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 28,000 | $5,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 25,000 | $4,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $4,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 20,055 | $3,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 11,300 | $1,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N111 | *W EXP 06/29/202 | 15,600 | $1,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 10,020 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 65,846 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-19-000002 | this filing | 2019-02-07 | acceptance time not in the bulk data set |