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Institutional Investment Manager
LPL Financial LLC
LPL Financial LLC (CIK: 0001403438) incorporated in California, located at 4707 Executive Drive, San Diego, CA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q2)
Original 13F HR (0001403438-16-000017) filed in 2016.08.15
#
Name
Shares
Value ($)
%
Options
Notes
2551 SEADRILL PARTNERS LLC 10,080 57 0.00%
2552 GABELLI CONV&INCOM SECS FD I 12,178 57 0.00%
2553 Bank of America Corp Warrants Exp 01/16/19 18,429 57 0.00%
2554 AMERICA FIRST MULTIFAMILY IN 10,150 56 0.00%
2555 ARROWHEAD PHARMACEUTICALS IN 10,233 56 0.00%
2556 MFS HIGH INCOME MUN TR 10,030 55 0.00%
2557 REX ENERGY CORPORATION 80,255 53 0.00%
2558 KINDRED BIOSCIENCES INC 13,925 52 0.00%
2559 GOLDMAN SACHS GROUP INC 45,000 50 0.00%
2560 CHROMADEX CORP 12,605 50 0.00%
2561 ARRAY BIOPHARMA INC 13,350 49 0.00%
2562 NORTHWEST BIOTHERAPEUTICS 99,456 49 0.00%
2563 Sizmek Inc 21,300 49 0.00%
2564 COMPANHIA ENERGETICA DE MINA 21,456 48 0.00%
2565 DENBURY RESOURCES INC 14,596 47 0.00%
2566 RESEARCH FRONTIERS INC 12,483 45 0.00%
2567 SYNERGY PHARMACEUTICALS DEL 11,500 44 0.00%
2568 POLYMET MINING CORP 53,110 42 0.00%
2569 GERON CORP 15,125 41 0.00%
2570 ANTARES PHARMA INC 40,303 40 0.00%
2571 WILLBROS GROUP INC DEL COM 15,485 39 0.00%
2572 ALLIQUA BIOMEDICAL INC 34,000 39 0.00%
2573 QUICKLOGIC CORP 38,098 36 0.00%
2574 HUGOTON RTY TR TEX 14,257 35 0.00%
2575 HERTZ GLOBAL HOLDINGS INC COM 15,267 34 0.00%
2576 JASON INDS INC 165,000 33 0.00%
2577 BELLATRIX EXPLORATION LTD 30,000 31 0.00%
2578 Teekay Tankers LTD 10,171 30 0.00%
2579 CONTRAFECT CORP COM 10,000 28 0.00%
2580 WABASH NATL CORP SR NT CV3.375 18 22,000 27 0.00%
2581 Arena Pharmaceuticals, Inc 16,550 27 0.00%
2582 NEURALSTEM INC COM 91,816 27 0.00%
2583 BLACKROCK CAPITAL INVESTMENT 25,000 26 0.00%
2584 BioPharmX Corporation 40,000 25 0.00%
2585 Ipass Inc 20,000 25 0.00%
2586 GLU MOBILE INC 10,700 24 0.00%
2587 VERASTEM INC 17,852 24 0.00%
2588 BRISTOL MYERS SQUIBB CO DBCV 9/1 12,000 23 0.00%
2589 PROVECTUS 59,200 21 0.00%
2590 TRANSENTERIX INC 17,734 21 0.00%
2591 CHESAPEAKE ENERGY CORP 23,000 21 0.00%
2592 SEQUENOM INC 25,100 21 0.00%
2593 PLUG POWER INC 11,660 20 0.00%
2594 MEMORIAL PRODTN PARTNERS LP 10,749 19 0.00%
2595 URANIUM ENERGY CORP 19,240 18 0.00%
2596 TELLURIAN INC NEW COM 14,187 17 0.00%
2597 DIVERSIFIED RSTRNT HLDGS INC COM 10,000 16 0.00%
2598 TANZANIAN ROYALTY EXPL CORP 13,500 13 0.00%
2599 AMPIO PHARMACEUTICALS INC 10,200 12 0.00%
2600 UNITED STATES ANTIMONY CORP 45,100 12 0.00%
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