13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-13, with 4,684 holding rows worth $142,844,674,295.
- Accession
- 0001403438-23-000006
- Filer
- CIK 1403438
- Filed
- 2023-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 4,684 entries on the cover page, a total value of $142,844,674,295 stated on the cover page (in dollars after the unit check, H1), rows summing to $142,844,674,295 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 17,533 | $58,911 | dollars as filed | |
| FERROGLOBE PLC | G33856108 | SHS | 11,313 | $58,828 | dollars as filed | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 14,210 | $58,545 | dollars as filed | |
| SNDL INC | 83307B101 | COM | 30,553 | $58,051 | dollars as filed | |
| 2U INC | 90214J101 | COM | 23,115 | $57,093 | dollars as filed | |
| VERIFYME INC | 92346X206 | COM NEW | 48,778 | $57,085 | dollars as filed | |
| SUNOPTA INC | 8676EP108 | COM | 16,920 | $57,020 | dollars as filed | |
| EXSCIENTIA PLC | 30223G102 | ADS | 12,525 | $56,613 | dollars as filed | |
| OUSTER INC COM NEW | 68989M202 | Stock | 11,144 | $56,166 | dollars as filed | |
| DIANA SHIPPING INC | Y2066G104 | COM | 16,169 | $56,107 | dollars as filed | |
| WALLBOX NV | N94209108 | SHS CL A | 24,808 | $55,818 | dollars as filed | |
| URANIUM RTY CORP | 91702V101 | COM | 19,191 | $55,078 | dollars as filed | |
| ANGI INC CLASS A | 00183L102 | CL A | 27,487 | $54,424 | dollars as filed | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 34,183 | $54,009 | dollars as filed | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 130,141 | $53,618 | dollars as filed | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 10,973 | $52,780 | dollars as filed | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 16,543 | $52,607 | dollars as filed | |
| VERTEX ENERGY INC | 92534K107 | COM | 11,601 | $51,624 | dollars as filed | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 171,459 | $51,438 | dollars as filed | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 13,695 | $51,355 | dollars as filed | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 35,009 | $51,113 | dollars as filed | |
| PENNYMAC CORP | 70932AAD5 | BOND | 52,000 | $50,911 | dollars as filed | principal |
| INFINERA CORP | 45667G103 | COMMON STOCK | 11,718 | $48,981 | dollars as filed | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 178,581 | $48,217 | dollars as filed | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 21,579 | $47,042 | dollars as filed | |
| SELECTQUOTE INC | 816307300 | COM | 40,100 | $46,917 | dollars as filed | |
| BIORA THERAPEUTICS INC | 74319F305 | COM | 21,534 | $46,729 | dollars as filed | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 45,000 | $46,139 | dollars as filed | principal |
| OPKO HEALTH INC | 68375N103 | COM | 28,563 | $45,701 | dollars as filed | |
| ACCURAY INC DEL | 004397105 | COM | 16,735 | $45,519 | dollars as filed | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 12,468 | $45,384 | dollars as filed | |
| CITIZENS INC | 174740100 | COMMON STOCK | 15,919 | $45,369 | dollars as filed | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 13,925 | $45,117 | dollars as filed | |
| FUELCELL ENERGY INC | 35952H601 | COM | 34,159 | $43,723 | dollars as filed | |
| ESS TECH INC | 26916J106 | COMMON STOCK | 22,611 | $42,509 | dollars as filed | |
| ADMA BIOLOGICS INC | 000899104 | COM | 11,873 | $42,505 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 13,576 | $42,493 | dollars as filed | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 24,270 | $41,744 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 48,329 | $41,181 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 54,430 | $40,980 | dollars as filed | |
| THE REALREAL INC | 88339P101 | COM | 18,784 | $39,634 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 19,501 | $39,392 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 40,105 | $39,211 | dollars as filed | |
| EVOGENE LTD | M4119S104 | SHS | 66,835 | $39,199 | dollars as filed | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 12,960 | $38,880 | dollars as filed | |
| LATHAM GROUP INC | 51819L107 | COMMON STOCK | 13,701 | $38,361 | dollars as filed | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 10,122 | $38,059 | dollars as filed | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 12,632 | $37,391 | dollars as filed | |
| IAMGOLD CORP COM | 450913108 | Stock | 17,314 | $37,225 | dollars as filed | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 17,954 | $37,165 | dollars as filed | |
| ASHFORD HOSPITALITY TR INC | 044103869 | COM SHS | 15,477 | $36,989 | dollars as filed | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 49,992 | $36,819 | dollars as filed | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 13,222 | $36,757 | dollars as filed | |
| POLYMET MNG CORP | 731916409 | COM | 17,617 | $36,643 | dollars as filed | |
| BERKELEY LTS INC | 084310101 | COM | 36,479 | $36,410 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 18,608 | $36,286 | dollars as filed | |
| AQUA METALS INC | 03837J101 | COM | 31,572 | $35,676 | dollars as filed | |
| COMPASS INC | 20464U100 | CL A | 12,298 | $35,664 | dollars as filed | |
| WHEELS UP EXPERIENCE INC | 96328L205 | COM CL A | 17,138 | $35,475 | dollars as filed | |
| COMSTOCK INC | 205750300 | COM NEW | 83,125 | $34,073 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 37,618 | $33,709 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 32,695 | $33,676 | dollars as filed | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 28,400 | $33,228 | dollars as filed | |
| HONEST CO INC | 438333106 | COM | 26,323 | $33,166 | dollars as filed | |
| ALLOT LTD | M0854Q105 | SHS | 15,100 | $32,918 | dollars as filed | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,378 | $32,897 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 40,494 | $32,436 | dollars as filed | |
| PORCH GROUP INC | 733245104 | COM | 40,150 | $32,224 | dollars as filed | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 13,209 | $31,041 | dollars as filed | |
| AMERICAN RES CORP | 02927U208 | CL A | 18,300 | $30,561 | dollars as filed | |
| INTEGRA RES CORP | 45826T509 | COM | 36,120 | $30,485 | dollars as filed | |
| DOUGLAS ELLIMAN INC | 25961D105 | COM | 13,473 | $30,448 | dollars as filed | |
| GEVO INC | 374396406 | COM PAR | 25,004 | $29,755 | dollars as filed | |
| GAN LTD | G3728V109 | SHS | 25,618 | $29,717 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 26,994 | $29,423 | dollars as filed | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 27,175 | $29,349 | dollars as filed | |
| CERUS CORP | 157085101 | COM | 18,010 | $29,176 | dollars as filed | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 11,000 | $29,040 | dollars as filed | |
| PAVMED INC | 70387R106 | COM | 97,159 | $28,623 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 44,000 | $26,944 | dollars as filed | principal |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 21,510 | $26,888 | dollars as filed | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 13,760 | $26,832 | dollars as filed | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 11,145 | $26,635 | dollars as filed | |
| BARNWELL INDS INC | 068221100 | COM | 10,000 | $26,350 | dollars as filed | |
| USA TODAY CO INC | 36472T109 | COM | 10,668 | $26,135 | dollars as filed | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 22,653 | $26,051 | dollars as filed | |
| TALKSPACE INC | 87427V103 | COM | 13,200 | $25,740 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 52,435 | $25,693 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 42,172 | $25,468 | dollars as filed | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 21,642 | $25,321 | dollars as filed | |
| TERRAN ORBITAL CORPORATION | 88105P103 | COM | 30,005 | $24,976 | dollars as filed | |
| CIPHER DIGITAL INC COM | 17253J106 | Stock | 10,718 | $24,973 | dollars as filed | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 48,310 | $24,952 | dollars as filed | |
| AGENUS INC | 00847G705 | COM NEW | 21,843 | $24,683 | dollars as filed | |
| RIMINI STR INC DEL | 76674Q107 | COM | 11,169 | $24,572 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 10,570 | $24,311 | dollars as filed | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 57,617 | $23,876 | dollars as filed | |
| Nine Energy Service Inc | 65441VAC5 | Corporate | 25,000 | $23,177 | dollars as filed | principal |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 101,200 | $22,365 | dollars as filed | |
| IMMUNITYBIO INC | 45256X103 | COM | 12,917 | $21,830 | dollars as filed | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 35,506 | $21,147 | dollars as filed | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 10,869 | $21,085 | dollars as filed | |
| THE REAL BROKERAGE INC | 75585H206 | COM NEW | 14,505 | $21,032 | dollars as filed | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 10,650 | $20,235 | dollars as filed | |
| AFFIMED N V | N01045108 | COM | 41,250 | $19,713 | dollars as filed | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 13,000 | $19,500 | dollars as filed | |
| CYBIN INC | 23256X100 | COM | 36,230 | $19,253 | dollars as filed | |
| AMERICAN WELL CORP | 03044L105 | CL A | 15,739 | $18,415 | dollars as filed | |
| EMX RTY CORP | 26873J107 | COM | 10,340 | $18,405 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 51,076 | $18,331 | dollars as filed | |
| WAYFAIR INC | 94419LAM3 | NOTE 0.625%10/0 | 21,000 | $18,074 | dollars as filed | principal |
| Fluent Co | 34380C102 | COM | 40,402 | $17,938 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $17,799 | dollars as filed | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 54,450 | $17,707 | dollars as filed | |
| RIGETTI COMPUTING INC COMMON STOCK | 76655K103 | Stock | 13,313 | $17,706 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 23,376 | $17,625 | dollars as filed | |
| Cango Inc/KY | 137586103 | ADS | 14,814 | $17,569 | dollars as filed | |
| TRX GOLD CORPORATION | 87283P109 | COM | 47,532 | $17,397 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 28,098 | $17,126 | dollars as filed | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 10,000 | $16,700 | dollars as filed | |
| LILIUM N V | N52586109 | COM | 23,268 | $16,597 | dollars as filed | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,600 | $16,592 | dollars as filed | |
| Allbirds Inc | 01675A109 | COM | 14,909 | $16,549 | dollars as filed | |
| IMMUNIC INC | 4525EP101 | COM | 11,000 | $16,170 | dollars as filed | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 16,000 | $15,987 | dollars as filed | principal |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 12,875 | $15,836 | dollars as filed | |
| VROOM INC | 92918V109 | COM | 14,125 | $15,820 | dollars as filed | |
| SmileDirectClub Inc | 83192H106 | COM | 37,727 | $15,657 | dollars as filed | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 12,600 | $15,375 | dollars as filed | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 44,075 | $15,043 | dollars as filed | |
| KARTOON STUDIOS INC. | 37229T509 | CMN | 10,696 | $14,974 | dollars as filed | |
| D-MARKET ELECTR SVCS TRY 0.2 | 23292B104 | SPONSORED ADS | 10,550 | $14,032 | dollars as filed | |
| 374WATER INC | 88583P104 | COM | 11,192 | $13,878 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 14,200 | $13,206 | dollars as filed | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,409 | $13,115 | dollars as filed | |
| VINTAGE WINE ESTATES INC | 92747V106 | COM | 22,000 | $12,518 | dollars as filed | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 10,249 | $12,094 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 28,585 | $12,006 | dollars as filed | |
| CASA SYS INC | 14713L102 | COM | 14,143 | $11,986 | dollars as filed | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 10,500 | $11,445 | dollars as filed | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 11,540 | $11,438 | dollars as filed | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 16,828 | $11,022 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 10,000 | $10,913 | dollars as filed | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 37,000 | $10,741 | dollars as filed | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 11,000 | $10,332 | dollars as filed | principal |
| 22ND CENTY GROUP INC | 90137F202 | COMMON | 10,102 | $9,878 | dollars as filed | |
| UPSTART HLDGS INC | 91680MAB3 | NOTE 0.250% 8/1 | 15,000 | $9,857 | dollars as filed | principal |
| CLENE INC | 185634102 | COM | 19,607 | $9,723 | dollars as filed | |
| NUVVE HOLDING CORP | 67079Y100 | COMMON STOCK | 26,469 | $8,973 | dollars as filed | |
| CERBERUS CYBER SENTINEL CORP | 15672X102 | COM | 60,000 | $8,400 | dollars as filed | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 12,293 | $8,359 | dollars as filed | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 41,441 | $8,292 | dollars as filed | |
| GOLDMINING INC | 38149E101 | COM | 10,500 | $8,248 | dollars as filed | |
| XOS INC | 98423B108 | COM | 23,785 | $8,177 | dollars as filed | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 10,000 | $8,005 | dollars as filed | principal |
| CINGULATE INC | 17248W105 | COMMON STOCK | 10,933 | $7,751 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 33,000 | $7,482 | dollars as filed | principal |
| VACASA INC | 91854V107 | COM | 16,000 | $7,378 | dollars as filed | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 26,658 | $7,296 | dollars as filed | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 21,899 | $7,292 | dollars as filed | |
| APPLIED UV INC | 03828V402 | COM NEW | 22,356 | $7,205 | dollars as filed | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 10,000 | $7,094 | dollars as filed | principal |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 35,484 | $6,816 | dollars as filed | |
| PLURI INC | 72942G104 | COM | 11,140 | $6,684 | dollars as filed | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 12,000 | $6,538 | dollars as filed | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 36,033 | $6,309 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,553 | $6,050 | dollars as filed | |
| TENAX THERAPEUTICS INC | 88032L506 | COM | 20,000 | $5,980 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 20,000 | $5,400 | dollars as filed | |
| MULLEN AUTOMOTIVE INC | 62526P307 | COM | 11,226 | $5,096 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 16,089 | $4,872 | dollars as filed | |
| RITE AID CORP | 767754872 | COM | 10,112 | $4,530 | dollars as filed | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 10,242 | $4,404 | dollars as filed | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 23,878 | $3,990 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 14,575 | $3,696 | dollars as filed | |
| INTRUSION INC COM NEW | 46121e205 | COM | 10,332 | $3,606 | dollars as filed | |
| NRX PHARMACEUTICALS INC | 629444100 | COMMON | 12,358 | $3,213 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L104 | COMMON | 10,000 | $2,640 | dollars as filed | |
| CELULARITY INC | 151190105 | COM | 11,100 | $2,465 | dollars as filed | |
| NUTEX HEALTH INC | 67079U108 | COM | 10,000 | $2,025 | dollars as filed | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 21,210 | $1,837 | dollars as filed | |
| PRESIDIO PPTY TR INC | 74102L113 | *W EXP 01/24/202 | 11,143 | $379 | dollars as filed | |
| OUSTER INC | 68989M129 | *W EXP 09/29/202 | 14,805 | $299 | dollars as filed | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $278 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-23-000006 | this filing | 2023-11-13 | acceptance time not in the bulk data set |