13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2024-09-30, filed 2024-11-08, with 5,156 holding rows worth $224,320,474,667.
- Accession
- 0001403438-24-000004
- Filer
- CIK 1403438
- Filed
- 2024-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2024
A holdings report, 5,156 entries on the cover page, a total value of $224,320,474,667 stated on the cover page (in dollars after the unit check, H1), rows summing to $224,320,474,667 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 |
|---|---|---|---|---|---|---|
| NOODLES & CO | 65540B105 | COM CL A | 39,351 | $47,221 | dollars as filed | |
| PETMED EXPRESS INC | 716382106 | COM | 12,831 | $47,218 | dollars as filed | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 12,750 | $46,920 | dollars as filed | |
| UR-ENERGY INC | 91688R108 | COM | 39,279 | $46,742 | dollars as filed | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 42,210 | $46,431 | dollars as filed | |
| NIKOLA CORP | 654110303 | COM NEW | 10,100 | $46,257 | dollars as filed | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 43,403 | $46,007 | dollars as filed | |
| CARA THERAPEUTICS INC | 140755109 | COM | 149,045 | $45,906 | dollars as filed | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 38,315 | $45,212 | dollars as filed | |
| BLUEBIRD BIO INC | 09609G100 | COM | 86,077 | $44,717 | dollars as filed | |
| HAEMONETICS CORP MASS | 405024AB6 | NOTE 3/0 | 48,000 | $44,399 | dollars as filed | |
| DOUGLAS ELLIMAN INC | 25961D105 | COM | 24,087 | $44,079 | dollars as filed | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 16,195 | $43,888 | dollars as filed | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 13,490 | $43,708 | dollars as filed | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 11,347 | $43,686 | dollars as filed | |
| HYPERFINE INC | 44916K106 | Common Stock | 39,700 | $42,876 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 31,645 | $42,721 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 11,209 | $42,258 | dollars as filed | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 18,538 | $41,618 | dollars as filed | |
| TELOS CORP MD | 87969B101 | COM | 11,533 | $41,403 | dollars as filed | |
| TALKSPACE INC | 87427V103 | COM | 19,200 | $40,128 | dollars as filed | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 10,412 | $39,774 | dollars as filed | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 285,975 | $39,236 | dollars as filed | |
| LYFT INC | 55087PAB0 | NOTE 1.500% 5/1 | 40,000 | $38,798 | dollars as filed | principal |
| FiscalNote Holdings Inc | 337655104 | Common Stock | 29,348 | $37,565 | dollars as filed | |
| BRIACELL THERAPEUTICS CORP | 107930109 | COM | 30,259 | $37,521 | dollars as filed | |
| PLANET LABS PBC | 72703X106 | COM CL A | 16,768 | $37,393 | dollars as filed | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 13,009 | $37,206 | dollars as filed | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 12,475 | $37,051 | dollars as filed | |
| NEXTCURE INC | 65343E108 | COM | 27,000 | $36,990 | dollars as filed | |
| ANGI INC CLASS A | 00183L102 | CL A | 14,211 | $36,664 | dollars as filed | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 74,519 | $36,626 | dollars as filed | |
| NUSCALE PWR CORP | 67079K118 | *W EXP 05/02/202 | 11,500 | $36,570 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 45,000 | $36,421 | dollars as filed | principal |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 12,648 | $36,173 | dollars as filed | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 29,555 | $34,875 | dollars as filed | |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 13,313 | $34,614 | dollars as filed | |
| WALLBOX NV | N94209108 | SHS CL A | 27,752 | $33,857 | dollars as filed | |
| MICROVISION INC DEL | 594960304 | COM NEW | 29,663 | $33,816 | dollars as filed | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 41,356 | $33,705 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 18,578 | $33,626 | dollars as filed | |
| EYENOVIA INC | 30234E104 | COM | 64,515 | $33,328 | dollars as filed | |
| SPHERE 3D CORP NEW | 84841L407 | COM NEW | 36,390 | $32,918 | dollars as filed | |
| RED CAT HLDGS INC | 75644T100 | COM | 12,393 | $31,478 | dollars as filed | |
| SNDL INC | 83307B101 | COM | 15,088 | $31,081 | dollars as filed | |
| ACCURAY INC DEL | 004397105 | COM | 17,221 | $30,998 | dollars as filed | |
| ONECONNECT FINL TECHNOLOGY C | 68248T204 | SPONSORED ADS | 11,000 | $30,800 | dollars as filed | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 19,433 | $30,510 | dollars as filed | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 21,259 | $30,400 | dollars as filed | |
| LIVEPERSON, INC. | 538146101 | COM | 23,550 | $30,144 | dollars as filed | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 10,721 | $30,019 | dollars as filed | |
| DANIMER SCIENTIFIC INC | 236272100 | COM CL A | 65,797 | $29,885 | dollars as filed | |
| VUZIX CORP | 92921W300 | COM NEW | 24,904 | $29,138 | dollars as filed | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 27,450 | $29,097 | dollars as filed | |
| AEON BIOPHARMA INC | 00791X100 | CL A | 26,840 | $28,182 | dollars as filed | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 30,734 | $27,824 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 32,216 | $27,525 | dollars as filed | |
| OUTSET MEDICAL INC | 690145107 | COM | 40,386 | $27,341 | dollars as filed | |
| DHI GROUP INC | 23331S100 | COM | 14,605 | $26,873 | dollars as filed | |
| Cango Inc/KY | 137586103 | ADS | 14,814 | $26,369 | dollars as filed | |
| CARDIOL THERAPEUTICS INC | 14161Y200 | COM CL A | 13,310 | $26,354 | dollars as filed | |
| GABELLI UTIL TR | 36240A184 | RIGHT 10/21/2024 | 946,585 | $26,030 | dollars as filed | |
| AMERICAN LITHIUM CORP COM | 027259209 | COM | 45,346 | $25,589 | dollars as filed | |
| GOPRO INC | 38268T103 | CL A | 18,485 | $25,140 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 22,000 | $24,455 | dollars as filed | principal |
| COMSTOCK INC | 205750300 | COM NEW | 51,600 | $24,407 | dollars as filed | |
| BARNWELL INDS INC | 068221100 | COM | 10,198 | $23,047 | dollars as filed | |
| W & T OFFSHORE INC | 92922P106 | COM | 10,716 | $23,038 | dollars as filed | |
| NOVONIX LIMITED | 67010L100 | SPONSORED ADS | 12,495 | $22,991 | dollars as filed | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 24,000 | $22,847 | dollars as filed | principal |
| TRX GOLD CORPORATION | 87283P109 | COM | 57,532 | $22,553 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 13,548 | $22,354 | dollars as filed | |
| CHEGG INC | 163092109 | COM | 12,471 | $22,073 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 22,789 | $21,877 | dollars as filed | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 12,600 | $21,735 | dollars as filed | |
| WW INTL INC | 98262P101 | COM | 24,648 | $21,636 | dollars as filed | |
| HIGH TIDE INC | 42981E401 | COM | 10,544 | $21,615 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 60,572 | $21,182 | dollars as filed | |
| TERRAN ORBITAL CORPORATION | 88105P103 | COM | 84,116 | $21,130 | dollars as filed | |
| SES AI CORPORATION | 78397Q109 | CL A COM | 32,690 | $20,915 | dollars as filed | |
| IKENA ONCOLOGY INC | 45175G108 | COM | 12,000 | $20,760 | dollars as filed | |
| PERFORMANCE SHIPPING INC | Y67305154 | FOREIGN | 11,000 | $20,680 | dollars as filed | |
| CARIBOU BIOSCIENCES INC COM | 142038108 | Stock | 10,483 | $20,547 | dollars as filed | |
| GOLDMINING INC | 38149E101 | COM | 21,822 | $20,513 | dollars as filed | |
| AMERICAN RES CORP | 02927U208 | CL A | 22,300 | $20,293 | dollars as filed | |
| Rail Vision Ltd | M8186D122 | COM | 35,250 | $19,853 | dollars as filed | |
| UBER TECHNOLOGIES INC | 90353TAJ9 | NOTE 12/1 | 18,000 | $19,685 | dollars as filed | |
| GLATFELTER CORP | 377320106 | COMMON STOCK | 10,765 | $19,377 | dollars as filed | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 19,000 | $19,188 | dollars as filed | principal |
| EMX RTY CORP | 26873J107 | COM | 10,565 | $18,806 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 23,600 | $18,196 | dollars as filed | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 15,860 | $17,922 | dollars as filed | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 20,522 | $17,875 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 21,449 | $17,758 | dollars as filed | |
| MONDEE HOLDINGS INC | 465712107 | COM | 12,400 | $17,236 | dollars as filed | |
| Galiano Gold Inc | 36352H100 | COM | 12,095 | $17,175 | dollars as filed | |
| D-WAVE QUANTUM INC | 26740W109 | COM | 17,195 | $16,901 | dollars as filed | |
| Shopify Inc | 82509LAA5 | Convertible bond | 17,000 | $16,298 | dollars as filed | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 48,450 | $16,061 | dollars as filed | |
| MOBIX LABS INC | 60743G100 | COM CL A | 15,000 | $15,900 | dollars as filed | |
| ATAIBECKLEY INC | N0731H103 | Equity | 13,687 | $15,877 | dollars as filed | |
| 374WATER INC | 88583P104 | COM | 10,992 | $14,949 | dollars as filed | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 13,500 | $14,850 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 14,881 | $14,713 | dollars as filed | |
| LIVEONE INC | 53814X102 | COM | 15,200 | $14,422 | dollars as filed | |
| OKTA INC | 679295AD7 | NOTE 0.125% 9/0 | 15,000 | $14,242 | dollars as filed | principal |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 20,000 | $13,998 | dollars as filed | |
| CUTERA INC | 232109108 | COM | 17,500 | $13,804 | dollars as filed | |
| REKOR SYSTEMS INC | 759419104 | COM | 11,555 | $13,635 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 17,925 | $13,573 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 37,852 | $13,154 | dollars as filed | |
| BENTLEY SYS INC | 08265TAB5 | NOTE 0.125% 1/1 | 13,000 | $13,012 | dollars as filed | principal |
| AIRBNB INC CLASS A | 009066AB7 | CLASS A | 14,000 | $13,008 | dollars as filed | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 14,533 | $12,587 | dollars as filed | |
| APPTECH PMTS CORP | 03834B309 | COM | 20,700 | $12,379 | dollars as filed | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 15,380 | $11,939 | dollars as filed | |
| CHIMERIX INC COM | 16934W106 | Stock | 12,728 | $11,837 | dollars as filed | |
| AQUA METALS INC | 03837J101 | COM | 60,575 | $11,328 | dollars as filed | |
| KOPIN CORP | 500600101 | COMMON STOCK | 15,300 | $11,169 | dollars as filed | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 14,600 | $11,140 | dollars as filed | |
| ZILLOW GROUP INC | 98954MAH4 | NOTE 2.750% 5/1 | 10,000 | $11,122 | dollars as filed | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 12,568 | $10,770 | dollars as filed | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 26,575 | $10,731 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 17,544 | $10,702 | dollars as filed | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 11,000 | $10,534 | dollars as filed | principal |
| BIORA THERAPEUTICS INC | 74319F305 | COM | 20,704 | $10,385 | dollars as filed | |
| MICROVAST HOLDINGS INC COM | 59516C106 | Stock | 41,346 | $10,316 | dollars as filed | |
| THE REAL GOOD FOOD COMPANY I | 75601G109 | COM CL A | 25,500 | $10,200 | dollars as filed | |
| RIGETTI COMPUTING INC COMMON STOCK | 76655K103 | Stock | 12,482 | $9,775 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 12,214 | $9,263 | dollars as filed | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 12,722 | $9,134 | dollars as filed | |
| KARTOON STUDIOS INC. | 37229T509 | CMN | 10,286 | $8,897 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 31,076 | $8,857 | dollars as filed | |
| DRAFTKINGS INC NEW | 26142RAB0 | CNV | 10,000 | $8,687 | dollars as filed | |
| ADVENT CONV & INCOME FD | 00764C117 | RIGHT 10/17/2024 | 434,865 | $8,652 | dollars as filed | |
| ASHFORD HOSPITALITY TR INC | 044103869 | COM SHS | 11,475 | $8,587 | dollars as filed | |
| FIBROGEN INC | 31572Q808 | COM | 21,216 | $8,474 | dollars as filed | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 12,000 | $8,400 | dollars as filed | |
| LILIUM N V | N52586109 | COM | 10,700 | $8,284 | dollars as filed | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 10,000 | $8,196 | dollars as filed | principal |
| DRAGONFLY ENERGY HOLDINGS CO | 26145B106 | COM | 14,700 | $7,791 | dollars as filed | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 11,500 | $7,697 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 23,000 | $7,436 | dollars as filed | principal |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 11,485 | $5,749 | dollars as filed | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 30,700 | $5,188 | dollars as filed | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 10,461 | $5,063 | dollars as filed | |
| TONIX PHARMACEUTICALS HLDG C | 890260847 | COM NEW | 30,049 | $4,462 | dollars as filed | |
| Renalytix PLC | 75973T101 | ADS | 18,375 | $3,842 | dollars as filed | |
| CARDIO DIAGNOSTICS HOLDGS IN | 14159C103 | COMMON STOCK | 15,199 | $3,389 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 37,505 | $3,357 | dollars as filed | |
| IN8BIO INC | 45674E109 | COM | 12,350 | $3,335 | dollars as filed | |
| VERTEX ENERGY INC | 92534K107 | COM | 23,654 | $2,734 | dollars as filed | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 11,800 | $2,715 | dollars as filed | |
| WESTERN ASSET GBL HIGH INC F | 95766B117 | RIGHT 10/08/2024 | 123,318 | $1,356 | dollars as filed | |
| OUSTER INC | 68989M129 | *W EXP 09/29/202 | 15,405 | $396 | dollars as filed | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $245 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-24-000004 | this filing | 2024-11-08 | acceptance time not in the bulk data set |