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Institutional Investment Manager
Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc (CIK: 0001333978) incorporated in Massachusetts, located at 29 Sawyer Road, Waltham, MA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Original 13F HR (0001333978-16-000018) filed in 2016.10.25
#
Name
Shares
Value ($)
%
Options
Notes
2201 M/I HOMES INC 27,000 27 0.00%
2202 REDWOOD TR INC NOTE 4.625 4/1 26,000 26 0.00%
2203 APOLLO COML REAL EST FIN INC 25,000 26 0.00%
2204 CATALYST PHARMACEUTICALS INC 24,000 26 0.00%
2205 BIOLINERX LTD 23,000 26 0.00%
2206 RYLAND GROUP INC SR NT CV 0.25 19 27,000 25 0.00%
2207 CASTLE BRANDS INC 28,500 25 0.00%
2208 NANOVIRICIDES INC 14,617 25 0.00%
2209 HURON CONSULTING GROUP INC 25,000 25 0.00%
2210 NW Biotherapeutics 45,325 25 0.00%
2211 TCP CAP CORP NOTE 5.25012/1 23,000 24 0.00%
2212 TPG Specialty Lending Inc 23,000 24 0.00%
2213 COLONY CAP INC 25,000 24 0.00%
2214 ZION OIL & GAS INC 16,662 23 0.00%
2215 NEW MTN FIN CORP 23,000 23 0.00%
2216 KB HOME SR CV NT1.375 19 24,000 23 0.00%
2217 BIOLASE INC 12,447 22 0.00%
2218 RENREN INCORPORATED SPONSORED ADR 10,335 21 0.00%
2219 BANK OF NOVA SCOTIA 20,000 21 0.00%
2220 IPASS INC 12,138 20 0.00%
2221 ENVESTNET INC 20,000 19 0.00%
2222 ENCORE CAP GROUP INC 25,000 19 0.00%
2223 LAM RESEARCH CORP SR NT CV 1.25 18 11,000 18 0.00%
2224 ACTIVE POWER INC COM NEW 66,453 18 0.00%
2225 VIVUS INC 15,233 17 0.00%
2226 CERULEAN PHARMA INC 15,713 16 0.00%
2227 TORCHLIGHT ENERGY RES INC 13,500 15 0.00%
2228 Basic Energy Services 17,598 15 0.00%
2229 GALENA BIOPHARMA INC 42,715 15 0.00%
2230 BLACKROCK CAPITAL INVESTMENT 14,000 14 0.00%
2231 SANDRIDGE MISSISSIPPIAN TR I 10,229 14 0.00%
2232 INTEL CORP JR SB CONV DB 35 10,000 14 0.00%
2233 NAVIOS MARITIME ACQUIS CORP 10,711 14 0.00%
2234 SANOFI 42,794 12 0.00%
2235 BIOSTAGE INC 11,522 12 0.00%
2236 NEOVASC INC 20,400 11 0.00%
2237 CYTRX CORP 16,701 10 0.00%
2238 ARVINMERITOR INC 10,000 10 0.00%
2239 HELIX ENERGY SOLUTIONS GRP INC SR GLBL CV NT 32 11,000 10 0.00%
2240 JEFFERIES GROUP INC NEW SR DB CV3.875 29 10,000 10 0.00%
2241 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 16,000 9 0.00%
2242 TearLab Corp. 12,200 8 0.00%
2243 NORTHERN DYNASTY MINERALS LT 10,012 7 0.00%
2244 NEURALSTEM INC COM 23,040 7 0.00%
2245 PALATIN TECHNOLOGIES INC 10,750 7 0.00%
2246 Chesapeake Energy Corp 39,000 5 0.00%
2247 XOMA CORP DEL 10,582 5 0.00%
2248 PROVECTUS 44,720 4 0.00%
2249 PEDEVCO CORP 21,630 4 0.00%
2250 CTI BIOPHARMA 10,113 4 0.00%
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