13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2025-09-30, filed 2025-11-12, with 5,793 holding rows worth $343,111,257,089.
- Accession
- 0001403438-25-000006
- Filer
- CIK 1403438
- Filed
- 2025-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2025
A holdings report, 5,793 entries on the cover page, a total value of $343,111,257,089 stated on the cover page (in dollars after the unit check, H1), rows summing to $343,111,257,089 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 |
|---|---|---|---|---|---|---|
| SAGIMET BIOSCIENCES INC A | 786700104 | COMMON STOCK | 15,675 | $107,531 | dollars as filed | |
| MANITOWOC CO INC | 563571405 | COM NEW | 10,699 | $107,097 | dollars as filed | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 12,676 | $106,225 | dollars as filed | |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 25,016 | $105,818 | dollars as filed | |
| DESIGNER BRANDS INC | 250565108 | CL A | 29,889 | $105,809 | dollars as filed | |
| EMX RTY CORP | 26873J107 | COM | 20,417 | $105,148 | dollars as filed | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 10,620 | $104,713 | dollars as filed | |
| CHEGG INC | 163092AF6 | NOTE 9/0 | 128,000 | $103,132 | dollars as filed | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 17,887 | $102,850 | dollars as filed | |
| ALIGHT INC | 01626W101 | COM CL A | 31,316 | $102,090 | dollars as filed | |
| LIONSGATE STUDIOS CORP COM | 53626N102 | Stock | 14,767 | $101,890 | dollars as filed | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 10,024 | $101,744 | dollars as filed | |
| SELECTQUOTE INC | 816307300 | COM | 51,725 | $101,381 | dollars as filed | |
| SNDL INC | 83307B101 | COM | 37,698 | $101,031 | dollars as filed | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 10,602 | $100,825 | dollars as filed | |
| SKYE BIOSCIENCE INC | 83086J200 | COM NEW | 25,512 | $100,262 | dollars as filed | |
| SOUTHERN CO | 842587DP9 | NOTE 3.875%12/1 | 89,000 | $100,257 | dollars as filed | principal |
| FORTREA HLDGS INC COMMON STOCK | 34965K107 | Stock | 11,844 | $99,722 | dollars as filed | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 60,700 | $99,548 | dollars as filed | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 11,235 | $99,093 | dollars as filed | |
| ACCURAY INC DEL | 004397105 | COM | 58,969 | $98,478 | dollars as filed | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 13,062 | $97,965 | dollars as filed | |
| EXPEDIA GROUP INC | 30212PBE4 | NOTE 2/1 | 97,000 | $97,756 | dollars as filed | |
| VENTAS RLTY LTD PARTNERSHIP | 92277GAZ0 | NOTE 3.750% 6/0 | 76,000 | $97,575 | dollars as filed | principal |
| ORION PROPERTIES INC COM | 68629Y103 | REIT | 36,096 | $97,459 | dollars as filed | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 22,865 | $96,719 | dollars as filed | |
| GRABHLDGSLTDFCLASSCLASSA | G4124C109 | STOK | 16,000 | $96,320 | dollars as filed | call |
| COMSTOCK INC | 205750409 | COMMON STOCK | 28,095 | $96,085 | dollars as filed | |
| NEURONETICS INC | 64131A105 | COM | 35,100 | $95,823 | dollars as filed | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 25,562 | $95,602 | dollars as filed | |
| Bitcoin Depot Inc | 09174P105 | Common Stock | 28,385 | $95,374 | dollars as filed | |
| DUKE ENERGY CORP | 26441CBY0 | CONV BND | 89,000 | $94,949 | dollars as filed | principal |
| UPEXI INC | 39959A205 | CMN | 16,245 | $93,734 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 11,700 | $93,249 | dollars as filed | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 15,000 | $93,000 | dollars as filed | call |
| VIANT TECHNOLOGY INC A | 92557A101 | COMMON STOCK | 10,554 | $91,081 | dollars as filed | |
| OWLET INC | 69120X206 | CL A NEW | 10,717 | $90,773 | dollars as filed | |
| ENVISTA HOLDINGS CORPORATION | 29415FAD6 | NOTE 1.750% 8/1 | 95,000 | $89,555 | dollars as filed | principal |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 13,617 | $89,328 | dollars as filed | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 10,163 | $86,999 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 15,819 | $86,848 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 24,828 | $86,153 | dollars as filed | |
| GEVO INC | 374396406 | COM PAR | 43,911 | $86,066 | dollars as filed | |
| YEXT INC | 98585N106 | COM | 10,080 | $85,882 | dollars as filed | |
| HELLO GROUP INC ADS | 423403104 | ADR | 11,415 | $84,700 | dollars as filed | |
| ONECONNECT FINL TECHNOLOGY C | 68248T204 | SPONSORED ADS | 11,120 | $84,290 | dollars as filed | |
| TELOS CORP MD | 87969B101 | COM | 12,316 | $84,241 | dollars as filed | |
| CITIZENS INC | 174740100 | COMMON STOCK | 16,027 | $84,142 | dollars as filed | |
| ANTERIS TECHNOLOGIES GLOBAL | 03675P102 | COMMON STOCK | 18,695 | $84,128 | dollars as filed | |
| XTI AEROSPACE INC | 98423K405 | COM NEW | 56,934 | $83,693 | dollars as filed | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 29,992 | $83,078 | dollars as filed | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 13,148 | $82,699 | dollars as filed | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 19,584 | $82,057 | dollars as filed | |
| BLINK CHARGING CO | 09354A100 | COM | 49,902 | $81,839 | dollars as filed | |
| KRISPY KREME INC | 50101L106 | COMMON STOCK | 20,892 | $80,853 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 182,482 | $79,526 | dollars as filed | |
| CINGULATE INC | 17248W303 | COM | 20,250 | $79,380 | dollars as filed | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 29,000 | $79,170 | dollars as filed | |
| CI&T INC | G21307106 | CMN | 15,272 | $78,648 | dollars as filed | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 57,420 | $78,091 | dollars as filed | |
| BGSF INC | 05601C105 | COM | 10,894 | $77,345 | dollars as filed | |
| CYBIN INC | 23256X407 | COM NEW | 13,110 | $77,218 | dollars as filed | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 10,334 | $76,882 | dollars as filed | |
| TABOOLA.COM LTD | M8744T106 | ORD SHS | 22,494 | $76,705 | dollars as filed | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 14,925 | $75,819 | dollars as filed | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,286 | $75,462 | dollars as filed | |
| NEW YORK MTG TR INC | 649604840 | COM | 10,826 | $75,460 | dollars as filed | |
| STITCH FIX INC | 860897107 | COM CL A | 17,273 | $75,138 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 18,796 | $74,996 | dollars as filed | |
| AGENUS INC | 00847G804 | COM NEW | 19,383 | $74,625 | dollars as filed | |
| ZENATECH INC | 98936T208 | CMN | 15,488 | $74,342 | dollars as filed | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 10,242 | $74,152 | dollars as filed | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 20,000 | $74,000 | dollars as filed | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 27,634 | $73,230 | dollars as filed | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 12,719 | $72,880 | dollars as filed | |
| STREAMEX CORP | 09073N300 | COM | 12,623 | $72,708 | dollars as filed | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 12,495 | $72,220 | dollars as filed | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 51,355 | $71,897 | dollars as filed | |
| PPL CAP FDG INC | 69352PAS2 | NOTE 2.875% 3/1 | 63,000 | $71,313 | dollars as filed | principal |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 14,745 | $71,070 | dollars as filed | |
| PROPETRO HLDG CORP | 74347M108 | COM | 13,530 | $70,897 | dollars as filed | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 18,159 | $70,457 | dollars as filed | |
| TREACE MED CONCEPTS INC | 89455T109 | COM | 10,500 | $70,455 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 44,500 | $70,310 | dollars as filed | |
| T-Rex 2X Long MSTR Daily Target ETF | 26923N462 | ETF | 15,000 | $69,750 | dollars as filed | |
| CERUS CORP | 157085101 | COM | 43,785 | $69,618 | dollars as filed | |
| PSQ HOLDINGS INC | 693691107 | CL A | 36,195 | $69,132 | dollars as filed | |
| HONEST CO INC | 438333106 | COM | 18,764 | $69,052 | dollars as filed | |
| Humacyte Inc W Exp 08/27/202 | 44486Q111 | SPAC Combination | 259,115 | $68,899 | dollars as filed | |
| CONDUENT INC | 206787103 | COM | 24,485 | $68,557 | dollars as filed | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 24,511 | $68,140 | dollars as filed | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 13,463 | $67,988 | dollars as filed | |
| MYOMO INC | 62857J201 | COM NEW | 76,000 | $67,792 | dollars as filed | |
| PRECISION BIOSCIENCES INC | 74019P207 | COM NEW | 12,041 | $66,466 | dollars as filed | |
| AIRSHIP AI HLDGS INC | 008940108 | COM | 12,850 | $66,435 | dollars as filed | |
| STRIVE INC | 862945102 | CL A COM | 26,523 | $66,308 | dollars as filed | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 12,605 | $65,799 | dollars as filed | |
| GOPRO INC | 38268T103 | CL A | 30,865 | $65,434 | dollars as filed | |
| ABSCI CORPORATION | 00091E109 | COM | 21,509 | $65,387 | dollars as filed | |
| FOREMOST CLEAN ENERGY LTD | 34547F105 | CMN | 22,178 | $64,760 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 50,633 | $63,798 | dollars as filed | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 15,698 | $63,105 | dollars as filed | |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 16,895 | $62,849 | dollars as filed | |
| GENASYS INC | 36872P103 | CMN | 25,285 | $61,948 | dollars as filed | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 19,179 | $61,565 | dollars as filed | |
| INOVIO PHARMACEUTICALS I | 45773H409 | COMMON STOCK | 25,995 | $60,828 | dollars as filed | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 10,450 | $60,821 | dollars as filed | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 28,584 | $60,026 | dollars as filed | |
| DATA STORAGE CORP | 23786R201 | COM NEW | 13,856 | $59,858 | dollars as filed | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 14,139 | $59,667 | dollars as filed | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 33,982 | $59,469 | dollars as filed | |
| CISO GLOBAL INC | 15672X201 | COM NEW | 55,927 | $58,723 | dollars as filed | |
| WORKSPORT LTD | 98139Q308 | CMN | 16,627 | $57,696 | dollars as filed | |
| VERTICAL AEROSPACE LTD SHS NEW | G9471C206 | Stock | 11,046 | $57,329 | dollars as filed | |
| TUHURA BIOSCIENCES INC | 898920103 | COM | 22,895 | $56,780 | dollars as filed | |
| MARCHEX INC | 56624R108 | CMN | 31,240 | $56,426 | dollars as filed | |
| UPSTART HLDGS INC | 91680MAB3 | NOTE 0.250% 8/1 | 60,000 | $56,365 | dollars as filed | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 31,863 | $56,238 | dollars as filed | |
| AGRIFORCE GROWING SYSTEMS LT | C00948304 | COM | 17,250 | $56,063 | dollars as filed | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 19,333 | $54,906 | dollars as filed | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 55,000 | $54,715 | dollars as filed | principal |
| ROCKWELL MED INC | 774374300 | COM NEW | 45,533 | $54,640 | dollars as filed | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 13,338 | $54,017 | dollars as filed | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 53,000 | $53,245 | dollars as filed | |
| TIZIANA LIFE SCIENCES LTD | G88912103 | COMMON SHARES | 24,622 | $53,184 | dollars as filed | |
| DYADIC INTL INC DEL | 26745T101 | COM | 44,887 | $52,967 | dollars as filed | |
| MARKER THERAPEUTICS INC | 57055L206 | COM NEW | 58,747 | $52,438 | dollars as filed | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 18,000 | $52,200 | dollars as filed | call |
| EBANG INTL HLDGS INC | G3R33A205 | CL A ORD SH NEW | 11,372 | $51,174 | dollars as filed | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 13,264 | $50,403 | dollars as filed | |
| IONEER LTD | 46211L101 | CMN | 11,190 | $50,019 | dollars as filed | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 18,656 | $49,438 | dollars as filed | |
| BLAIZE HLDGS INC | 092915107 | COM | 14,179 | $48,918 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 52,296 | $48,855 | dollars as filed | |
| SOLUNA HOLDINGS INC | 583543301 | COM NEW | 20,778 | $48,828 | dollars as filed | |
| LASER PHOTONICS CORP | 51807Q100 | COM | 11,221 | $48,363 | dollars as filed | |
| DEXCOM INC | 252131AM9 | NOTE 0.375% 5/1 | 53,000 | $48,328 | dollars as filed | principal |
| OPKO HEALTH INC | 68375N103 | COM | 30,935 | $47,949 | dollars as filed | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 104,945 | $47,677 | dollars as filed | |
| ALLIANT ENERGY CORP | 018802AC2 | NOTE 3.875% 3/1 | 44,000 | $47,552 | dollars as filed | principal |
| SACHEM CAP CORP | 78590A109 | COM | 42,757 | $47,460 | dollars as filed | |
| AEYE INC | 008183204 | CL A NEW | 18,896 | $47,051 | dollars as filed | |
| IMMUNIC INC | 4525EP101 | COM | 53,050 | $46,769 | dollars as filed | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 53,116 | $44,724 | dollars as filed | |
| FTAI INFRASTRUCTURE INC | 35953C106 | COMMON STOCK | 10,256 | $44,718 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G307 | COM | 10,692 | $44,479 | dollars as filed | |
| SES AI CORPORATION | 78397Q109 | CL A COM | 26,360 | $44,021 | dollars as filed | |
| ORIGIN MATERIALS INC | 68622D106 | COM | 84,554 | $43,849 | dollars as filed | |
| DEFINITIVE HEALTHCARE CORP | 24477E103 | CLASS A COM | 10,780 | $43,767 | dollars as filed | |
| COHEN & STEERS INFRASTRUCTUR | 19248A117 | RIGHT 10/16/2025 | 560,027 | $43,681 | dollars as filed | |
| MEDICUS PHARMA LTD | 58471K202 | COM | 18,751 | $43,409 | dollars as filed | |
| MERITAGE HOMES CORP | 59001ABF8 | NOTE 1.750% 5/1 | 42,000 | $43,016 | dollars as filed | principal |
| CMS ENERGY CORP | 125896BX7 | NOTE 3.375% 5/0 | 39,000 | $42,780 | dollars as filed | principal |
| UBER TECHNOLOGIES INC | 90353TAM2 | NOTE 0.875%12/0 | 29,000 | $42,348 | dollars as filed | principal |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 12,936 | $42,171 | dollars as filed | |
| CRITICAL METALS CORP | G2662B111 | WTS | 20,000 | $42,040 | dollars as filed | |
| SCYNEXIS INC | 811292200 | COM NEW | 53,680 | $41,334 | dollars as filed | |
| BROADWIND INC | 11161T207 | CMN | 19,535 | $41,024 | dollars as filed | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 24,066 | $40,672 | dollars as filed | |
| QUANTUM SI INC | 74765K105 | COM CL A | 28,460 | $40,129 | dollars as filed | |
| INTEGRA RES CORP | 45826T509 | COM | 13,496 | $39,813 | dollars as filed | |
| LUMINAR TECHNOLOGIES INC | 550424303 | COM NEW CL A | 20,621 | $39,386 | dollars as filed | |
| Tscan Therapeutics Inc | 89854M101 | COM | 21,500 | $39,130 | dollars as filed | |
| HAEMONETICS CORP MASS | 405024AB6 | NOTE 3/0 | 40,000 | $39,018 | dollars as filed | |
| MACROGENICS INC | 556099109 | COM | 23,158 | $38,905 | dollars as filed | |
| 8X8 INC NEW | 282914AE0 | NOTE 4.000% 2/0 | 45,000 | $38,688 | dollars as filed | principal |
| UR-ENERGY INC | 91688R108 | COM | 21,250 | $38,038 | dollars as filed | |
| VERU INC | 92536C202 | COM NEW | 10,000 | $38,000 | dollars as filed | call |
| COINBASE GLOBAL INC | 19260QAB3 | NOTE 0.500% 6/0 | 33,000 | $37,014 | dollars as filed | principal |
| TRUECAR INC | 89785L107 | COM | 20,073 | $36,934 | dollars as filed | |
| BEYOND MEAT INC | 08862E109 | COM | 19,531 | $36,914 | dollars as filed | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 11,988 | $36,683 | dollars as filed | |
| BRIDGER AEROSPACE GRP HLDGS | 96812F102 | COM | 19,743 | $36,525 | dollars as filed | |
| UBER TECHNOLOGIES INC | 90353TAJ9 | NOTE 12/1 | 30,000 | $36,464 | dollars as filed | |
| EVERGY INC | 30034WAD8 | NOTE 4.500%12/1 | 29,000 | $36,368 | dollars as filed | principal |
| TENAYA THERAPEUTICS INC | 87990A106 | COM | 22,353 | $36,212 | dollars as filed | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 13,585 | $35,864 | dollars as filed | |
| CURIS INC | 231269309 | COM | 21,577 | $35,818 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 17,552 | $35,806 | dollars as filed | |
| ELEDON PHARMACEUTICALS INC | 28617k101 | COM | 13,650 | $35,354 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 11,824 | $35,117 | dollars as filed | |
| JET AI INC | 47714H308 | cs | 10,422 | $34,809 | dollars as filed | |
| REKOR SYSTEMS INC | 759419104 | COM | 22,080 | $34,666 | dollars as filed | |
| CIBUS INC | 17166A101 | CL A COM STK | 26,292 | $33,917 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 46,390 | $33,340 | dollars as filed | |
| USBC INC. | 499238202 | COM NEW | 24,750 | $33,165 | dollars as filed | |
| PRECIGEN INC | 74017N105 | COM | 10,000 | $32,900 | dollars as filed | call |
| TRX GOLD CORPORATION | 87283P109 | COM | 52,532 | $32,775 | dollars as filed | |
| SMARTRENT INC | 83193G107 | COMMON STOCK | 23,000 | $32,430 | dollars as filed | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 15,218 | $32,414 | dollars as filed | |
| NATUZZI S P A | 63905A200 | SPON ADS | 10,000 | $32,200 | dollars as filed | |
| ARBE ROBOTICS LTD ORDINARY SHARES | M1R95N100 | Stock | 19,300 | $31,845 | dollars as filed | |
| CID HOLDCO INC | 171756109 | COM | 12,365 | $31,407 | dollars as filed | |
| PYXIS ONCOLOGY INC COMMON STOCK | 747324101 | Stock | 14,002 | $31,084 | dollars as filed | |
| NEURAXIS INC | 64134X201 | COM | 10,000 | $30,800 | dollars as filed | |
| MOLECULIN BIOTECH INC | 60855D309 | COM | 58,080 | $30,782 | dollars as filed | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 23,916 | $30,134 | dollars as filed | |
| OUTLOOK THERAPEUTICS INC | 69012T305 | COM | 28,424 | $30,129 | dollars as filed | |
| OMNIAB INC | 68218J103 | COM | 18,800 | $30,080 | dollars as filed | |
| VALENS SEMICONDUCTOR LTD | M9607U115 | ORDINARY SHARES | 16,709 | $29,909 | dollars as filed | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 15,040 | $29,629 | dollars as filed | |
| TALKSPACE INC | 87427V103 | COM | 10,297 | $28,418 | dollars as filed | |
| PHUNWARE INC | 71948P209 | COM NEW | 10,274 | $28,254 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 19,168 | $28,177 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 10,000 | $27,800 | dollars as filed | call |
| COMPUGEN LTD | M25722105 | ORD | 18,878 | $27,751 | dollars as filed | |
| ZEVIA PBC | 98955K104 | CL A | 10,190 | $27,717 | dollars as filed | |
| PARSONS CORP DEL | 70202LAD4 | NOTE 2.625% 3/0 | 24,000 | $27,439 | dollars as filed | principal |
| AMERICAN WTR CAP CORP | 03040WBE4 | NOTE 3.625% 6/1 | 27,000 | $27,018 | dollars as filed | principal |
| HYPERFINE INC | 44916K106 | Common Stock | 18,450 | $26,753 | dollars as filed | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 10,418 | $26,670 | dollars as filed | |
| ETSY INC | 29786AAN6 | NOTE 0.250% 6/1 | 30,000 | $26,635 | dollars as filed | principal |
| HEARTBEAM INC | 42238H108 | COM | 16,000 | $26,400 | dollars as filed | |
| Xilio Therapeutics Inc. | 98422T100 | COM | 31,000 | $26,124 | dollars as filed | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 29,000 | $25,729 | dollars as filed | principal |
| INTELLIGENT BIO SOLUTIONS IN | 36151G600 | COM | 25,000 | $25,500 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAF6 | NOTE 12/1 | 25,000 | $24,994 | dollars as filed | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 28,556 | $24,758 | dollars as filed | |
| NETCAPITAL INC | 64113L202 | COM NEW | 10,000 | $24,000 | dollars as filed | |
| CARIBOU BIOSCIENCES INC COM | 142038108 | Stock | 10,296 | $23,990 | dollars as filed | |
| PAVMED INC | 70387R403 | COM NEW | 55,533 | $23,935 | dollars as filed | |
| ON SEMICONDUCTOR CORP | 682189AS4 | NOTE 5/0 | 21,000 | $23,817 | dollars as filed | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 25,000 | $23,753 | dollars as filed | principal |
| ICECURE MEDICAL LTD CAESAREA | M53071136 | SHS NEW | 23,375 | $23,726 | dollars as filed | |
| APREA THERAPEUTICS INC | 03836J201 | COM NEW | 16,052 | $23,677 | dollars as filed | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 35,099 | $23,636 | dollars as filed | |
| SMART SAND INC | 83191H107 | COM | 10,900 | $23,326 | dollars as filed | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 17,887 | $23,253 | dollars as filed | |
| INOTIV INC | 45783Q100 | COM | 15,895 | $23,048 | dollars as filed | |
| Shopify Inc | 82509LAA5 | Convertible bond | 22,000 | $22,985 | dollars as filed | principal |
| BLACKROCK INCOME TR INC | 09247F118 | RIGHT 10/20/2025 | 388,625 | $22,928 | dollars as filed | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 10,291 | $22,846 | dollars as filed | |
| WHEELS UP EXPERIENCE INC | 96328L205 | COM CL A | 12,389 | $22,796 | dollars as filed | |
| ENVOY MEDICAL INC | 29415V109 | CL A | 28,401 | $22,031 | dollars as filed | |
| MIXED MARTIAL ARTS GROUP LTD | Q0266F107 | ORD SHS | 14,487 | $22,020 | dollars as filed | |
| LIVEPERSON, INC. | 538146101 | COM | 37,600 | $21,932 | dollars as filed | |
| INCANNEX HEALTHCARE INC | 45333F109 | EQUITY | 45,373 | $21,067 | dollars as filed | |
| BARNWELL INDS INC | 068221100 | COM | 16,198 | $21,057 | dollars as filed | |
| COGNITION THERAPEUTICS INC | 19243B102 | COM | 15,273 | $20,619 | dollars as filed | |
| GLOBAL PMTS INC | 37940XAU6 | NOTE 1.500% 3/0 | 22,000 | $20,116 | dollars as filed | principal |
| DRAFTKINGS INC NEW | 26142RAB0 | CNV | 22,000 | $19,747 | dollars as filed | |
| REALPHA TECH CORP | 75607T105 | COM | 25,700 | $19,712 | dollars as filed | |
| KOSMOS ENERGY LTD | 500688106 | COM | 11,870 | $19,704 | dollars as filed | |
| PERFORMANCE SHIPPING INC | Y67305154 | FOREIGN | 10,000 | $18,900 | dollars as filed | |
| LIFEWARD LTD | M8216Q119 | SHS | 26,284 | $18,704 | dollars as filed | |
| CHEGG INC | 163092109 | COM | 12,308 | $18,584 | dollars as filed | |
| TILRAY INC | 88688T100 | COM CL 2 | 10,000 | $17,300 | dollars as filed | call |
| FRACTYL HEALTH INC | 35168W103 | COM | 10,425 | $16,576 | dollars as filed | |
| ELECTRA BATTERY MATERIALS CO | 28474P706 | COM | 13,531 | $16,508 | dollars as filed | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 17,000 | $16,362 | dollars as filed | principal |
| CYPHERPUNK TECHNOLOGIES INC | 52187K200 | COM NEW | 36,010 | $16,349 | dollars as filed | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 15,080 | $16,286 | dollars as filed | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 12,000 | $15,600 | dollars as filed | |
| SAFETY SHOT INC | 48208F105 | COM NEW | 57,346 | $15,369 | dollars as filed | |
| NEW MTN FIN CORP | 647551AE0 | BOND | 15,000 | $14,906 | dollars as filed | principal |
| Cresud S A C I F Y A Warrant Exp 03/09/202 | P3311R259 | Warrant | 22,000 | $14,700 | dollars as filed | |
| CANOPY GROWTH CORPORATION COM NEW | 138035704 | Stock | 10,000 | $14,600 | dollars as filed | call |
| AGILON HEALTH INC | 00857U107 | COM | 14,055 | $14,477 | dollars as filed | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 14,906 | $13,924 | dollars as filed | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 16,613 | $13,890 | dollars as filed | |
| DRAGONFLY ENERGY HOLDINGS CO | 26145B304 | COM NEW | 23,217 | $13,809 | dollars as filed | |
| AFFIRM HLDGS INC | 00827BAB2 | NOTE 11/1 | 14,000 | $13,204 | dollars as filed | |
| DIGITALOCEAN HLDGS INC | 25402DAB8 | CNV | 14,000 | $13,097 | dollars as filed | |
| FURY GOLD MINES LTD | 36117T100 | COM | 20,000 | $13,062 | dollars as filed | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 39,567 | $13,025 | dollars as filed | |
| ITRON INC | 465741AN6 | NOTE 3/1 | 12,000 | $12,736 | dollars as filed | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 14,412 | $12,694 | dollars as filed | |
| TRIDENT DIGITAL TECH HOLDING | 89616X106 | SPONSORED ADS | 13,750 | $12,595 | dollars as filed | |
| ARRAY TECHNOLOGIES INC | 04271TAB6 | NOTE 1.000%12/0 | 14,000 | $12,126 | dollars as filed | principal |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 13,000 | $11,983 | dollars as filed | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AR9 | NOTE 2.250% 9/1 | 13,000 | $11,709 | dollars as filed | principal |
| KARTOON STUDIOS INC. | 37229T509 | CMN | 15,533 | $11,462 | dollars as filed | |
| MIND C T I LTD | M70240102 | ORD | 10,000 | $11,001 | dollars as filed | |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 10,000 | $10,255 | dollars as filed | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 10,000 | $9,739 | dollars as filed | principal |
| NEUROONE MED TECHNOLOGIES CORP COM | 64130M209 | Stock | 10,934 | $9,716 | dollars as filed | |
| JETBLUE AIRWAYS CORP | 477143AP6 | NOTE 0.500% 4/0 | 10,000 | $9,670 | dollars as filed | principal |
| FIBROBIOLOGICS INC | 31573L105 | COM SHS | 17,570 | $9,597 | dollars as filed | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 18,699 | $9,419 | dollars as filed | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 11,000 | $9,368 | dollars as filed | principal |
| GREENLAND MINES LTD | 49876K103 | COM | 19,000 | $9,207 | dollars as filed | |
| GAMESQUARE HLDGS INC | 36468G103 | Common Stock | 10,649 | $7,229 | dollars as filed | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 10,500 | $6,635 | dollars as filed | |
| NUVVE HOLDING CORP | 67079Y308 | COM | 26,029 | $6,114 | dollars as filed | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y174 | RIGHT 10/06/2025 | 494,836 | $4,007 | dollars as filed | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 12,600 | $1,934 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 23,000 | $1,818 | dollars as filed | principal |
| PSYENCE BIOMEDICAL LTD | 74449F118 | *W EXP 01/22/202 | 29,345 | $739 | dollars as filed | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P118 | RIGHT 10/10/2025 | 35,055 | $666 | dollars as filed | |
| PRESIDIO PPTY TR INC | 74102L113 | *W EXP 01/24/202 | 15,762 | $589 | dollars as filed | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $177 | dollars as filed | |
| OUSTER INC | 68989M129 | *W EXP 09/29/202 | 20,605 | $37 | dollars as filed | |
| MSP RECOVERY INC | 553745126 | *W EXP 05/20/202 | 14,098 | $25 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-25-000006 | this filing | 2025-11-12 | acceptance time not in the bulk data set |