13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2022-03-31, filed 2022-05-16, with 4,174 holding rows worth $116,366,016,000.
- Accession
- 0001403438-22-000003
- Filer
- CIK 1403438
- Filed
- 2022-05-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2022
A holdings report, 4,174 entries on the cover page, a total value of $116,366,016,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $116,366,016,000 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 |
|---|---|---|---|---|---|---|
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 26,711 | $86,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 38,807 | $86,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 21,760 | $86,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 33,280 | $86,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 33,051 | $85,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 47,319 | $85,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 10,074 | $85,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 34,060 | $84,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 152,226 | $84,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 74,650 | $84,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 23,704 | $82,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 57,459 | $80,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 26,151 | $78,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,561 | $77,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 10,090 | $77,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X104 | COM CL 1 | 10,288 | $77,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 11,235 | $76,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,150 | $74,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 12,700 | $71,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 33,044 | $70,000 | thousands by filing date | |
| KIROMIC BIOPHARMA INC | 497634105 | COM | 82,175 | $70,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 44,700 | $69,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 12,323 | $68,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 128,827 | $68,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 34,000 | $67,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 12,890 | $67,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 33,313 | $67,000 | thousands by filing date | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 23,153 | $67,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 19,364 | $66,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 30,538 | $65,000 | thousands by filing date | |
| GOLD ROYALTY CORP | 38071H106 | COMMON SHARES | 15,833 | $65,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 10,880 | $65,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 40,220 | $63,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 13,051 | $62,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 44,000 | $62,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,522 | $62,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 45,234 | $60,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 96,033 | $60,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 12,941 | $58,000 | thousands by filing date | |
| ARRIVAL GROUP | L0423Q108 | SHS | 15,466 | $58,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,000 | $57,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,970 | $57,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 22,386 | $56,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 47,000 | $56,000 | thousands by filing date | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 10,550 | $53,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 14,325 | $52,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 48,400 | $52,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 31,097 | $52,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,597 | $51,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 15,871 | $51,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $51,000 | thousands by filing date | principal |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 15,545 | $50,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 10,791 | $50,000 | thousands by filing date | |
| VROOM INC | 92918V109 | COM | 18,919 | $50,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,302 | $48,000 | thousands by filing date | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 50,000 | $48,000 | thousands by filing date | principal |
| OCUGEN INC | 67577C105 | COMMON STOCK | 14,210 | $47,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 50,000 | $47,000 | thousands by filing date | principal |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 12,609 | $45,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 18,724 | $45,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 13,386 | $44,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 11,349 | $44,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 50,000 | $44,000 | thousands by filing date | principal |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 14,856 | $43,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 11,064 | $43,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 13,913 | $43,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 18,311 | $42,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 26,090 | $42,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 16,063 | $42,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 37,261 | $42,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 48,297 | $41,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 67,131 | $41,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 130,900 | $41,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 12,050 | $40,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 22,460 | $40,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 32,000 | $40,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 22,825 | $40,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 32,627 | $39,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 79,964 | $38,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,400 | $37,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 80,790 | $37,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 17,146 | $37,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 13,944 | $36,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 31,075 | $35,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 18,353 | $34,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 21,512 | $34,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 13,272 | $34,000 | thousands by filing date | |
| VINCO VENTURES INC | 927330100 | COM | 10,510 | $34,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 72,811 | $33,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 27,997 | $32,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 12,717 | $32,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 10,557 | $32,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,600 | $32,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 15,405 | $31,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,291 | $31,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 28,076 | $31,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 21,698 | $31,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 17,561 | $30,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 10,100 | $30,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,632 | $30,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 26,110 | $30,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 11,415 | $28,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 12,970 | $28,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 15,000 | $28,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 44,720 | $27,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 27,000 | $27,000 | thousands by filing date | principal |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 12,605 | $26,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 15,865 | $26,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 13,159 | $26,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 17,519 | $24,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 11,292 | $24,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 11,000 | $23,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 36,000 | $23,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $23,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $23,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $23,000 | thousands by filing date | principal |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 25,000 | $23,000 | thousands by filing date | principal |
| BIOCARDIA INC | 09060U507 | COM | 11,050 | $23,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $22,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $22,000 | thousands by filing date | principal |
| EPIZYME INC | 29428V104 | COM | 18,450 | $21,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,382 | $20,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $20,000 | thousands by filing date | principal |
| APPLIED UV INC | 03828V105 | COM | 13,000 | $20,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 46,850 | $19,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 53,000 | $19,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 13,000 | $18,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 12,620 | $18,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,193 | $18,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 30,550 | $18,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 73,049 | $18,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 16,482 | $17,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V409 | COM NEW | 40,540 | $17,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 41,746 | $16,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $16,000 | thousands by filing date | principal |
| CONFORMIS INC | 20717E101 | COM | 25,650 | $16,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 17,000 | $15,000 | thousands by filing date | principal |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,090 | $15,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 29,471 | $15,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $15,000 | thousands by filing date | principal |
| MUSTANG BIO INC | 62818Q104 | COM | 15,000 | $15,000 | thousands by filing date | |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 18,000 | $15,000 | thousands by filing date | principal |
| NEWAGE INC | 650194103 | COMMON STOCK | 24,034 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $14,000 | thousands by filing date | principal |
| TANZANIAN GOLD CORP | 87601A107 | COM | 46,032 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,600 | $13,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 11,479 | $13,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 10,532 | $13,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 11,850 | $12,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 18,062 | $12,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $12,000 | thousands by filing date | principal |
| NUCANA PLC | 67022C106 | ADR | 12,000 | $12,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 15,475 | $10,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 19,585 | $10,000 | thousands by filing date | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $9,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 26,252 | $9,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 10,000 | $9,000 | thousands by filing date | principal |
| ZOMEDICA CORP COM | 98980M109 | Stock | 25,058 | $8,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,064 | $8,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 10,000 | $7,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 30,000 | $7,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 19,143 | $7,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 30,550 | $7,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 23,280 | $6,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 13,460 | $6,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 10,550 | $6,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 39,000 | $6,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 14,000 | $5,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 10,000 | $5,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 13,261 | $5,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 20,244 | $4,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 10,023 | $4,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 20,033 | $2,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,005 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-22-000003 | this filing | 2022-05-16 | acceptance time not in the bulk data set |