Investor LPL Financial LLC
13D/G Filings

This page shows a list of all the recent 13D/G filings made by LPL Financial LLC . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2025-04-17 13G PCF / High Income Securities Fund 1,589,323
2024-11-06 13G/A FGB / First Trust Specialty Finance and Financial Opportunities Fund 784,089 1,077,057
2024-11-06 13G/A FCT / First Trust Senior Floating Rate Income Fund II 1,364,835 896,576
2024-02-09 13G/A FGB / First Trust Specialty Finance and Financial Opportunities Fund 889,331 784,089
2024-02-09 13G/A JFR / Nuveen Floating Rate Income Fund 3,188,503 2,788,756
2024-02-09 13G/A FCT / First Trust Senior Floating Rate Income Fund II 1,998,239 1,364,835
2024-02-09 13G/A FAM / First Trust/Abrdn Global Opportunity Income Fund 598,513 0
2024-02-09 13G/A MFD / Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund 456,491 364,075
2024-02-09 13G/A DMA / Destra Multi-Alternative Fund 1,380,554 330,344
2023-02-03 13G MFD / Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund 456,491
2023-02-03 13G FAM / First Trust/Abrdn Global Opportunity Income Fund 598,513
2023-02-03 13G FGB / First Trust Specialty Finance and Financial Opportunities Fund 889,331
2023-01-17 13G/A JFR / Nuveen Floating Rate Income Fund 2,873,704 3,188,503
2023-01-17 13G/A DMA / Destra Multi-Alternative Fund 981,192 1,380,554
2023-01-17 13G/A FCT / First Trust Senior Floating Rate Income Fund II 1,528,649 1,998,239
2022-10-06 13G DMA / Destra Multi-Alternative Fund 981,192
2022-02-14 13G JFR / Nuveen Floating Rate Income Fund 2,873,704
2022-02-14 13G FCT / First Trust Senior Floating Rate Income Fund II 1,528,649
2019-10-10 13G/A US58503F5026 / Medley Capital Corp. 6,068,612 300,857
2019-03-15 13G/A US58503F5026 / Medley Capital Corp. 6,068,612
2019-01-10 13G US58503F3047 / Medley Capital Corp., 6.125% Senior Bonds due 3/30/2023 6,068,612
2019-01-10 13G/A FSK / FS KKR Capital Corp. 13,063,672 14,302,667
2018-02-02 13G FSK / FS KKR Capital Corp. 13,063,672
2016-01-12 13G SRV / NXG Cushing Midstream Energy Fund 3,340,235 9,083
2015-07-24 13G SRV / NXG Cushing Midstream Energy Fund 3,340,235