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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 (2017Q1)
Original 13F HR (0001333978-17-000006) filed in 2017.05.15
#
Name
Shares
Value ($)
%
Options
Notes
1751 PLANET FITNESS INC 18,145 350 0.00%
1752 GUGGENHEIM ABC MSCI GLOBAL TIMBER ETF 13,301 350 0.00%
1753 HANCOCK JOHN PFD INCOME FD I 18,964 350 0.00%
1754 KONINKLIJKE PHILIPS N V 10,888 350 0.00%
1755 GLOBAL X FDS 30,075 349 0.00%
1756 SALISBURY BANCORP INC 8,962 347 0.00%
1757 ZOGENIX INC 32,000 347 0.00%
1758 ASHLAND GLOBAL HLDGS INC 2,803 347 0.00%
1759 APOLLO COML REAL EST FIN INC 18,442 347 0.00%
1760 NEWMARKET CORP 764 346 0.00%
1761 FIRST TR HIGH INCOME L/S FD 20,720 345 0.00%
1762 ISHARES TR 13,804 344 0.00%
1763 CANADIAN PAC RY LTD 2,344 344 0.00%
1764 NOVAVAX INC 267,975 343 0.00%
1765 POWERSHARES ETF TR RUSSELL 2000 PURE 11,762 343 0.00%
1766 POWERSHARES ETF TR II 30,625 342 0.00%
1767 ROGERS COMMUNICATIONS INC 7,739 342 0.00%
1768 POWERSHARES ETF TRUST 3,626 342 0.00%
1769 LMP CAP & INCOME FD INC 24,002 342 0.00%
1770 CITIZENS NORTHN CORP 14,666 341 0.00%
1771 WESTERN ASSET PREMIER BD FD SHS BEN INT 25,573 341 0.00%
1772 ASA GOLD AND PRECIOUS MTLS L 28,314 341 0.00%
1773 Ferrellgas Partners LP 56,891 341 0.00%
1774 BALL CORP 4,555 338 0.00%
1775 LTC PPTYS INC COM 7,026 337 0.00%
1776 TICC CAPITAL CORP 45,499 336 0.00%
1777 BIOCRYST PHARMACEUTICALS 39,955 336 0.00%
1778 UBS GROUP AG 20,933 334 0.00%
1779 KITE PHARMA INC 4,239 333 0.00%
1780 INVESCO ADVANTAGE MUN INCOME 29,735 333 0.00%
1781 VANECK VECTORS ETF TR 13,199 333 0.00%
1782 SPDR INDEX SHS FDS 7,798 332 0.00%
1783 ISHARES TR 13,286 332 0.00%
1784 NUVEEN CALIF MUN VALUE FD 32,809 331 0.00%
1785 PRUDENTIAL SHT DURATION HG YLD 21,489 331 0.00%
1786 AMERCO 865 330 0.00%
1787 INVESTORS BANCORP INC NEW 22,885 329 0.00%
1788 INVESCO CALIF VALUE MUN INC 26,633 328 0.00%
1789 ALNYLAM PHARMACEUTICALS INC 6,404 328 0.00%
1790 Carolina Financial Corp 10,917 328 0.00%
1791 WESTERN REFNG INC 9,321 327 0.00%
1792 KOSMOS ENERGY LTD SHS 48,916 326 0.00%
1793 RSP PERMIAN INC COM 7,835 325 0.00%
1794 CANON INC 10,349 324 0.00%
1795 MADISON SQUARE GARDEN CO NEW 1,621 324 0.00%
1796 APTARGROUP INC 4,201 323 0.00%
1797 BHP BILLITON PLC 10,365 323 0.00%
1798 ARCH CAP GROUP LTD 3,413 323 0.00%
1799 BLACKSTONE GSO LNG SHRT CR I 20,061 323 0.00%
1800 ESSENT GROUP LTD 8,921 323 0.00%
Page 36 of 49
Restatement filing (0001333978-18-000004) filed in 2018.02.16
#
Name
Shares
Value ($)
%
Options
Notes
1 Kinder Morgan Inc Del Wt Exp 052517 79,340 0 0.00%
2 PALATIN TECHNOLOGIES INC 13,250 4 0.00%
3 BIOSTAGE INC 14,547 5 0.00%
4 CYTRX CORP 16,701 7 0.00%
5 SYNTHETIC BIOLOGICS INCORPORATED 11,033 7 0.00%
6 CERECOR INC 13,012 9 0.00%
7 HORNBECK OFFSHORE SVCS INC NEW SR CONV NT1.5 19 16,000 10 0.00%
8 ARVINMERITOR INC 10,000 10 0.00%
9 JEFFERIES GROUP INC NEW SR DB CV3.875 29 10,000 10 0.00%
10 UNI PIXEL INC COM NEW 13,300 11 0.00%
11 HELIX ENERGY SOLUTIONS GRP INC SR GLBL CV NT 32 11,000 11 0.00%
12 SECOND SIGHT MED PRODS INC 11,099 13 0.00%
13 RAIT FINANCIAL TRUST 13,000 13 0.00%
14 EXCO RESOURCES INC 22,938 14 0.00%
15 LIGHTBRIDGE CORP 11,346 15 0.00%
16 URANIUM ENERGY CORP 10,881 15 0.00%
17 LIQTECH INTL INC 42,000 16 0.00%
18 ZION OIL & GAS INC 13,287 16 0.00%
19 BIOLASE INC 12,634 17 0.00%
20 GLOBALSTAR INC 10,788 17 0.00%
21 DRYSHIPS INC 10,619 18 0.00%
22 SANDRIDGE MISSISSIPPIAN TR I 12,601 18 0.00%
23 NANOVIRICIDES INC 16,331 18 0.00%
24 VIVUS INC 16,733 19 0.00%
25 SANOFI 42,259 19 0.00%
26 INTEL CORP JR SB CONV DB 35 14,000 19 0.00%
27 TRANSENTERIX INC 16,930 20 0.00%
28 PERION NETWORK LTD 11,400 20 0.00%
29 NAVIDEA BIOPHARM INC 34,087 20 0.00%
30 NETLIST INC 20,000 20 0.00%
31 NEOVASC INC 12,900 20 0.00%
32 ATHERSYS INC NEW 12,500 21 0.00%
33 BANK OF NOVA SCOTIA 20,000 21 0.00%
34 Durect Corp Com 20,500 22 0.00%
35 ENCORE CAP GROUP INC 25,000 22 0.00%
36 HURON CONSULTING GROUP INC 25,000 23 0.00%
37 LAM RESEARCH CORP SR NT CV 1.25 18 11,000 23 0.00%
38 Chesapeake Energy Corp 39,000 23 0.00%
39 INSEEGO CORP 11,006 23 0.00%
40 TCP CAP CORP NOTE 5.25012/1 23,000 24 0.00%
41 NEW MTN FIN CORP 23,000 24 0.00%
42 TPG Specialty Lending Inc 23,000 24 0.00%
43 HUGOTON RTY TR TEX 13,398 25 0.00%
44 KB HOME SR CV NT1.375 19 24,000 25 0.00%
45 COLONY CAP INC 25,000 25 0.00%
46 NAVIOS MARITIME ACQUIS CORP 14,312 25 0.00%
47 RYLAND GROUP INC SR NT CV 0.25 19 27,000 25 0.00%
48 REDWOOD TR INC NOTE 4.625 4/1 26,000 26 0.00%
49 INTELLIPHARMACEUTICS INTL IN 10,264 26 0.00%
50 TOP SHIPS INC 23,809 26 0.00%
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