13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-14, with 4,071 holding rows worth $86,992,284,000.
- Accession
- 0001403438-21-000003
- Filer
- CIK 1403438
- Filed
- 2021-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 4,071 entries on the cover page, a total value of $86,992,284,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $86,992,284,000 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 |
|---|---|---|---|---|---|---|
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,469 | $43,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 14,000 | $43,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 40,859 | $42,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 37,800 | $42,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 14,000 | $41,000 | thousands by filing date | principal |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 10,903 | $40,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 14,500 | $40,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 14,500 | $40,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 11,941 | $39,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 12,615 | $38,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 22,000 | $38,000 | thousands by filing date | principal |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 16,530 | $38,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 10,100 | $38,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,116 | $38,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 23,095 | $38,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 16,500 | $37,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 30,000 | $37,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 12,675 | $36,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 22,221 | $36,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,600 | $35,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 16,284 | $35,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 59,032 | $35,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 25,050 | $35,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 20,578 | $33,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 48,000 | $33,000 | thousands by filing date | principal |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 13,068 | $32,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 30,000 | $31,000 | thousands by filing date | principal |
| LEGATO MERGER CORP | 52473X114 | *W EXP 12/31/202 | 64,350 | $31,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,000 | $30,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 17,109 | $29,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 10,079 | $28,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 14,500 | $28,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 15,000 | $28,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,895 | $28,000 | thousands by filing date | principal |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $27,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 10,500 | $26,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 12,093 | $25,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 21,000 | $25,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 37,400 | $24,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $23,000 | thousands by filing date | principal |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 10,122 | $23,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 33,900 | $23,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 11,894 | $23,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $22,000 | thousands by filing date | principal |
| BAUDAX BIO INC | 07160F107 | COM | 16,800 | $22,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 21,350 | $21,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 15,300 | $21,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,411 | $20,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 16,960 | $20,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H114 | *W EXP 10/26/202 | 21,000 | $20,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,043 | $19,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 20,500 | $19,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $19,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $18,000 | thousands by filing date | principal |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 13,395 | $18,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $16,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $16,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 12,100 | $15,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $15,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $13,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 13,000 | $13,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $12,000 | thousands by filing date | principal |
| DYNATRONICS CORP | 268157401 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 12,000 | $12,000 | thousands by filing date | principal |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 17,500 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 13,360 | $10,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $9,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,000 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-21-000003 | this filing | 2021-05-14 | acceptance time not in the bulk data set |