This page lists the SEC filings reported by LPL Financial LLC.
| Type | Filed | Filer | Subject | Shares Owned | Percent Owned | |
|---|---|---|---|---|---|---|
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G/A | 2024-02-09 | - | - | - | - | EDGAR |
| SC 13G | 2023-02-03 | LPL Financial LLC | FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND | 88,933,175 | 6.2% | EDGAR |
| SC 13G | 2023-02-03 | LPL Financial LLC | FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUND | 59,851,395 | 5.9% | EDGAR |
| SC 13G | 2023-02-03 | LPL Financial LLC | MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND | 45,649,140 | 5.3% | EDGAR |
| SC 13G/A | 2023-01-17 | LPL Financial LLC | NUVEEN FLOATING RATE INCOME FUND | 318,850,320 | 5.6% | EDGAR |
| SC 13G/A | 2023-01-17 | LPL Financial LLC | Destra Multi-Alternative Fund | 138,055,436 | 15.4% | EDGAR |
| SC 13G/A | 2023-01-17 | LPL Financial LLC | FIRST TRUST SENIOR FLOATING RATE INCOME FUND II | 199,823,912 | 7.7% | EDGAR |
| SC 13G | 2022-10-06 | LPL Financial LLC | Destra Multi-Alternative Fund | 98,119,205 | 10.9% | EDGAR |
| SC 13G | 2022-02-14 | LPL Financial LLC | FIRST TRUST SENIOR FLOATING RATE INCOME FUND II | 1,528,649,039 | 5.9% | EDGAR |
| SC 13G | 2022-02-14 | LPL Financial LLC | NUVEEN FLOATING RATE INCOME FUND | 287,370,461 | 5.1% | EDGAR |
| SC 13G/A | 2019-10-10 | LPL Financial LLC | Medley Capital Corp | 300,857 | 0.6% | EDGAR |
| SC 13G/A | 2019-03-15 | LPL Financial LLC | Medley Capital Corp | 6,068,612,005 | 11.1% | EDGAR |
| SC 13G/A | 2019-01-10 | LPL Financial LLC | FS KKR Capital Corp | 1,430,266,712 | 6.0% | EDGAR |
| SC 13G | 2019-01-10 | LPL Financial LLC | Medley Capital Corp | 6,068,612,005 | 11.1% | EDGAR |
| SC 13G | 2018-02-02 | LPL Financial LLC | FS Investment CORP | 1,306,367,201 | 5.3% | EDGAR |
- Form 13F-HR
- The 13F-HR report is filed quarterly to report securities held by the filer that fall under the SEC's 13F rules.
- Form SC 13D/G
- Reported by persons and groups who own 5% or more of any class of a company's outstanding shares. If the ownership changes by 1% or more, an amendment must be filed.
- Form 3, 4, and 5
- Form 3, 4, and 5 reports are filed to report insider transactions by company officers and directors, and any beneficial owners of more than ten percent of a company's shares. Form 3 is the initial report that must be filed when a person becomes an officer, director, or beneficial owner. Form 4 reports are used to report changes in ownership, while the Form 5 report is used for reporting transactions that should have been reported earlier in a Form 4 filing.