13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-09, with 3,545 holding rows worth $64,033,078,000.
- Accession
- 0001403438-20-000008
- Filer
- CIK 1403438
- Filed
- 2020-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 3,545 entries on the cover page, a total value of $64,033,078,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $64,033,078,000 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 DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 21,550 | $21,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 141,120 | $21,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,000 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $21,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 20,000 | $21,000 | thousands by filing date | principal |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 10,000 | $20,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 27,633 | $20,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,788 | $19,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $19,000 | thousands by filing date | principal |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 15,182 | $18,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 11,088 | $18,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 17,377 | $17,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 24,952 | $17,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 15,000 | $17,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 10,000 | $16,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,411 | $15,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $15,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $15,000 | thousands by filing date | principal |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 20,174 | $15,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 30,000 | $15,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 18,350 | $15,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 13,650 | $15,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $14,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 12,339 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $14,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $14,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $14,000 | thousands by filing date | principal |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 55,500 | $14,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $13,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $11,000 | thousands by filing date | principal |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 25,000 | $11,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 29,410 | $9,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,825 | $9,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,931 | $7,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 10,760 | $7,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 10,000 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,920 | $5,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 20,012 | $5,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 10,000 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 25,951 | $4,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 18,214 | $3,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 11,700 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-20-000008 | this filing | 2020-11-09 | acceptance time not in the bulk data set |