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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
2301 ZYNGA INC 27,410 78 0.00%
2302 SUMMER INFANT INC 39,426 75 0.00%
2303 CALUMET SPECIALTY PRODS PTNR 19,509 74 0.00%
2304 MCDERMOTT INTL INC 10,949 74 0.00%
2305 ELEMENTS ROGERS INTERNATIONAL COMMODITY INDEX-TOTAL RETURN ETN 14,447 73 0.00%
2306 ORGANOVO HLDGS INC 22,466 71 0.00%
2307 FIFTH STREET FINANCE CORP 14,729 68 0.00%
2308 KERYX BIOPHARMACEUTICALS INC 10,684 66 0.00%
2309 SUNRUN INC 11,647 63 0.00%
2310 IMMUNOGEN INC 15,639 61 0.00%
2311 OHA INVT CORP 38,755 60 0.00%
2312 WELLS FARGO GLOBAL DIVID OPP 10,342 60 0.00%
2313 IAMGOLD CORP 14,542 58 0.00%
2314 R1 RCM INC 18,500 57 0.00%
2315 PENN WEST PETE LTD NEW 32,545 55 0.00%
2316 AZURRX BIOPHARMA 14,247 55 0.00%
2317 PENGROWTH ENERGY CORP 53,757 54 0.00%
2318 CHAMPIONS ONCOLOGY INC 16,653 53 0.00%
2319 RELM WIRELESS CORP 10,524 53 0.00%
2320 GOLDEN STAR RES LTD CDA 62,269 53 0.00%
2321 BIOLINERX LTD 55,000 53 0.00%
2322 NEVSUN RES LTD 20,432 52 0.00%
2323 TERRAVIA HLDGS INC COM 71,802 52 0.00%
2324 KINROSS GOLD CORP 14,916 52 0.00%
2325 Teekay Offshore Partners L.P. 10,009 51 0.00%
2326 PROTALIX BIOTHERAPEUTICS INC 37,750 51 0.00%
2327 REAL GOODS SOLAR INC 34,503 48 0.00%
2328 ELDORADO GOLD CORP NEW 14,088 48 0.00%
2329 CATALYST PHARMACEUTICALS INC 24,090 47 0.00%
2330 WESTPORT FUEL SYSTEMS INC 47,569 46 0.00%
2331 TANZANIAN ROYALTY EXPL CORP 106,565 46 0.00%
2332 FUSION TELECOMM INTL INC 28,304 45 0.00%
2333 FUEL TECH INCORPORATED 42,215 43 0.00%
2334 CELLDEX THERAPEUTICS INC NEW 12,023 43 0.00%
2335 ROYAL BANK OF CANADA 40,000 42 0.00%
2336 ATLANTIC PWR CORP 15,602 41 0.00%
2337 MICRON SOLUTIONS INC 10,000 40 0.00%
2338 22ND CENTY GROUP INCORPORATED 33,828 40 0.00%
2339 PROPHASE LABS INC 17,500 40 0.00%
2340 DANAHER CORP DEL LYON 01/21 12,000 39 0.00%
2341 SEADRILL LIMITED 23,757 39 0.00%
2342 PARKER DRILLING COMPANY 21,410 37 0.00%
2343 Abraxas Petroleum Corp 18,503 37 0.00%
2344 ENERGY FOCUS INC COM NEW 10,957 36 0.00%
2345 FUELCELL ENERGY INC 26,120 36 0.00%
2346 ARENA PHARMACEUTICALS INC 24,071 35 0.00%
2347 CREDIT SUISSE ASSET MGMT INC 10,680 35 0.00%
2348 MANNKIND CORP 22,699 34 0.00%
2349 PLURISTEM THERAPEUTICS INC 27,516 34 0.00%
2350 GLU MOBILE INC 15,100 34 0.00%
Page 47 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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