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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
2351 DENBURY RES INC COM NEW 13,038 34 0.00%
2352 APPLIED DNA SCIENCES INC COM 19,694 33 0.00%
2353 ADDVANTAGE TECHNOLOGIES GROU 16,645 32 0.00%
2354 ATLAS AIR WORLDWIDE HLDGS INC 2.25 06/01/2022 30,000 32 0.00%
2355 ALASKA COMMUNICATIONS SYS GR 16,925 31 0.00%
2356 ANI PHARMACEUTICALS INC 29,000 31 0.00%
2357 PHOTRONICS INC 25,000 30 0.00%
2358 BLACKSTONE MTG TR INC 25,000 29 0.00%
2359 ASANKO GOLD INC 11,250 29 0.00%
2360 IPASS INC 23,738 28 0.00%
2361 APOLLO COML REAL EST FIN INC 25,000 27 0.00%
2362 CHROMADEX CORP 10,002 27 0.00%
2363 M/I HOMES INC 27,000 27 0.00%
2364 INTELLIPHARMACEUTICS INTL IN 10,264 26 0.00%
2365 TOP SHIPS INC 23,809 26 0.00%
2366 REDWOOD TR INC NOTE 4.625 4/1 26,000 26 0.00%
2367 OCH ZIFF CAP MGMT GROUP 11,474 26 0.00%
2368 HUGOTON RTY TR TEX 13,398 25 0.00%
2369 COLONY CAP INC 25,000 25 0.00%
2370 KB HOME SR CV NT1.375 19 24,000 25 0.00%
2371 RYLAND GROUP INC SR NT CV 0.25 19 27,000 25 0.00%
2372 NAVIOS MARITIME ACQUIS CORP 14,312 25 0.00%
2373 NEW MTN FIN CORP 23,000 24 0.00%
2374 TCP CAP CORP NOTE 5.25012/1 23,000 24 0.00%
2375 TPG Specialty Lending Inc 23,000 24 0.00%
2376 HURON CONSULTING GROUP INC 25,000 23 0.00%
2377 LAM RESEARCH CORP SR NT CV 1.25 18 11,000 23 0.00%
2378 Chesapeake Energy Corp 39,000 23 0.00%
2379 INSEEGO CORP 11,006 23 0.00%
2380 ENCORE CAP GROUP INC 25,000 22 0.00%
2381 Durect Corp Com 20,500 22 0.00%
2382 ATHERSYS INC NEW 12,500 21 0.00%
2383 BANK OF NOVA SCOTIA 20,000 21 0.00%
2384 NAVIDEA BIOPHARM INC 34,087 20 0.00%
2385 TRANSENTERIX INC 16,930 20 0.00%
2386 NETLIST INC 20,000 20 0.00%
2387 NEOVASC INC 12,900 20 0.00%
2388 PERION NETWORK LTD 11,400 20 0.00%
2389 SANOFI 42,259 19 0.00%
2390 INTEL CORP JR SB CONV DB 35 14,000 19 0.00%
2391 VIVUS INC 16,733 19 0.00%
2392 DRYSHIPS INC 10,619 18 0.00%
2393 SANDRIDGE MISSISSIPPIAN TR I 12,601 18 0.00%
2394 NANOVIRICIDES INC 16,331 18 0.00%
2395 GLOBALSTAR INC 10,788 17 0.00%
2396 BIOLASE INC 12,634 17 0.00%
2397 LIQTECH INTL INC 42,000 16 0.00%
2398 ZION OIL & GAS INC 13,287 16 0.00%
2399 LIGHTBRIDGE CORP 11,346 15 0.00%
2400 URANIUM ENERGY CORP 10,881 15 0.00%
Page 48 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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