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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
1 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 27,495 0 0.00%
2 COMMUNITY HEALTH SYS INC NEW 89,891 0 0.00%
3 UNITED DEV FDG IV COM 47,567 0 0.00%
4 Key Energy Services, Inc. 15,511 3 0.00%
5 DOCUMENT SEC SYS INC COM 14,392 3 0.00%
6 ATLAS RESOURCES PARTNERS LP 12,875 4 0.00%
7 PEREGRINE PHARMACEUTICALS IN 13,160 5 0.00%
8 OREXIGEN THERAPEUTICS INC COM 10,850 5 0.00%
9 DENISON MINES CORP 14,578 8 0.00%
10 PALATIN TECHNOLOGIES INC COM 15,000 8 0.00%
11 MATEON THERAPEUTICS INC 12,887 9 0.00%
12 SUNSHINE HEART INC 14,000 9 0.00%
13 Comstock Mining Inc 19,615 9 0.00%
14 GALENA BIOPHARMA INC 16,180 10 0.00%
15 NEPTUNE TECHNOLOGIES BIORESO 10,000 10 0.00%
16 TCP CAP CORP NOTE 5.25012/1 10,000 10 0.00%
17 SINA CORP 10,000 10 0.00%
18 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 10,000 10 0.00%
19 CENVEO INC 13,439 11 0.00%
20 UNITED STATES ANTIMONY CORP 45,100 12 0.00%
21 COMSTOCK RES INC COM NEW 15,000 12 0.00%
22 AMPIO PHARMACEUTICALS INC 10,200 12 0.00%
23 TANZANIAN ROYALTY EXPL CORP 13,500 13 0.00%
24 DIVERSIFIED RSTRNT HLDGS INC COM 10,000 16 0.00%
25 TELLURIAN INC NEW COM 14,187 17 0.00%
26 URANIUM ENERGY CORP 19,240 18 0.00%
27 MEMORIAL PRODTN PARTNERS LP 10,749 19 0.00%
28 PLUG POWER INC 11,660 20 0.00%
29 PROVECTUS 59,200 21 0.00%
30 CHESAPEAKE ENERGY CORP 23,000 21 0.00%
31 SEQUENOM INC 25,100 21 0.00%
32 TRANSENTERIX INC 17,734 21 0.00%
33 BRISTOL MYERS SQUIBB CO DBCV 9/1 12,000 23 0.00%
34 GLU MOBILE INC 10,700 24 0.00%
35 VERASTEM INC 17,852 24 0.00%
36 BioPharmX Corporation 40,000 25 0.00%
37 Ipass Inc 20,000 25 0.00%
38 BLACKROCK CAPITAL INVESTMENT 25,000 26 0.00%
39 WABASH NATL CORP SR NT CV3.375 18 22,000 27 0.00%
40 NEURALSTEM INC COM 91,816 27 0.00%
41 Arena Pharmaceuticals, Inc 16,550 27 0.00%
42 CONTRAFECT CORP COM 10,000 28 0.00%
43 Teekay Tankers LTD 10,171 30 0.00%
44 BELLATRIX EXPLORATION LTD 30,000 31 0.00%
45 JASON INDS INC 165,000 33 0.00%
46 HERTZ GLOBAL HOLDINGS INC COM 15,267 34 0.00%
47 HUGOTON RTY TR TEX 14,257 35 0.00%
48 QUICKLOGIC CORP 38,098 36 0.00%
49 WILLBROS GROUP INC DEL COM 15,485 39 0.00%
50 ALLIQUA BIOMEDICAL INC 34,000 39 0.00%
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