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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 (2016Q4)
Portfolio Summary: 2,318 holdings with a total value of $13,538,987,000.
#
Name
Shares
Value ($)
%
Options
Notes
2301 BIOSTAGE INC 14,522 13,000 0.00%
2302 RAIT FINANCIAL TRUST 13,000 13,000 0.00%
2303 NANOVIRICIDES INC 12,331 13,000 0.00%
2304 UNI PIXEL INC 13,300 13,000 0.00%
2305 HELIX ENERGY SOLUTIONS GRP INC 11,000 11,000 0.00%
2306 Cerecor Inc 13,012 11,000 0.00%
2307 HORNBECK OFFSHORE SVCS INC N 16,000 11,000 0.00%
2308 Jefferies Group LLC 10,000 10,000 0.00%
2309 ARVINMERITOR INC 10,000 10,000 0.00%
2310 CASTLE BRANDS INC 13,500 10,000 0.00%
2311 SYNTHETIC BIOLOGICS INC 11,033 8,000 0.00%
2312 CYTRX CORP 16,701 6,000 0.00%
2313 NEURALSTEM INCORPORATED 18,040 5,000 0.00%
2314 PALATIN TECHNOLOGIES INC COM 10,750 5,000 0.00%
2315 CHESAPEAKE ENERGY CORP 39,000 5,000 0.00%
2316 TRIANGLE PETE CORP 10,850 3,000 0.00%
2317 MEMORIAL PRODTN PARTNERS 15,971 2,000 0.00%
2318 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 60,108 0 0.00%
Page 47 of 47

Portfolio data is normalized using SEC Form 13F filings, including the Restatement filing (0001333978-18-000003, filed 2018.02.16).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.