13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-12, with 2,678 holding rows worth $18,302,950,000.
- Accession
- 0000312272-18-000006
- Filer
- CIK 312272
- Filed
- 2018-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 2,678 entries on the cover page, a total value of $18,302,950,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,302,948,000 with VALUE read as thousands by filing date, 13F file number 028-18352. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 22,727 | $109,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 14,825 | $109,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 17,727 | $107,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 28,404 | $107,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 62,632 | $106,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 10,750 | $106,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 15,516 | $105,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 11,040 | $104,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 12,358 | $104,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 15,678 | $101,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 12,282 | $101,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 10,915 | $100,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,045 | $98,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,452 | $98,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 12,500 | $98,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,815 | $97,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 13,019 | $95,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 66,663 | $95,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 40,579 | $94,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 10,463 | $94,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,877 | $93,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 461,388 | $93,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 12,358 | $90,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,978 | $88,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 39,369 | $88,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 35,238 | $86,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 15,822 | $83,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 45,690 | $83,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,297 | $78,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,331 | $78,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 25,694 | $78,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 13,335 | $78,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 19,250 | $77,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 18,367 | $76,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 10,250 | $75,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 12,997 | $74,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 21,000 | $74,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 20,100 | $73,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $73,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 10,039 | $71,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 61,554 | $71,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 85,000 | $70,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 46,301 | $69,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 35,712 | $69,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 24,355 | $68,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 10,344 | $68,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 49,370 | $67,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 55,010 | $65,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 29,372 | $65,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 12,991 | $64,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,817 | $63,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 38,710 | $63,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 13,632 | $61,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,845 | $60,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 27,789 | $60,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 55,000 | $60,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 26,512 | $59,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 13,395 | $58,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 24,705 | $58,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 20,589 | $58,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 10,192 | $58,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 20,819 | $57,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 64,369 | $57,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 42,048 | $57,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 15,514 | $57,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 16,049 | $53,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,853 | $52,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 45,000 | $52,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 14,247 | $52,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,934 | $51,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 14,500 | $49,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,320 | $48,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $46,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 28,035 | $45,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 10,141 | $44,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 17,353 | $43,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 30,516 | $42,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 13,012 | $42,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $41,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 43,939 | $35,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 12,155 | $35,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 10,475 | $34,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 30,090 | $34,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 25,000 | $34,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,527 | $34,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 13,556 | $34,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 11,000 | $34,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 11,300 | $33,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 26,270 | $33,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $33,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,866 | $32,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 12,847 | $31,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,981 | $31,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 11,900 | $31,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 29,250 | $30,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 27,000 | $29,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 16,000 | $29,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 15,400 | $29,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,000 | $29,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 13,795 | $28,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 13,092 | $28,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 24,000 | $28,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 21,574 | $28,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 101,429 | $28,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 15,000 | $28,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 20,739 | $27,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 14,160 | $27,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $27,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 13,503 | $27,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $27,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 26,000 | $26,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $26,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 19,000 | $26,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,700 | $25,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 21,000 | $24,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $24,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 23,000 | $24,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $24,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $24,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $24,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 23,410 | $23,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 15,675 | $23,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 12,000 | $23,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 21,000 | $23,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 25,000 | $23,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 10,000 | $22,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,696 | $22,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 29,000 | $22,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 10,261 | $21,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 23,000 | $21,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,843 | $20,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 17,000 | $20,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 15,000 | $20,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 38,738 | $20,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,193 | $20,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,781 | $19,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 11,006 | $18,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 10,000 | $18,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 19,880 | $17,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 17,000 | $17,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 16,000 | $17,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 22,180 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $16,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 16,000 | $16,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,601 | $15,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 17,000 | $15,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 15,000 | $15,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 11,000 | $15,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 14,000 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 11,895 | $14,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 14,000 | $14,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 11,450 | $14,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,641 | $13,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 13,000 | $13,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 11,000 | $13,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,200 | $12,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $11,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 30,587 | $11,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 11,000 | $11,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 10,000 | $11,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 12,390 | $10,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 42,472 | $10,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 37,047 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 23,335 | $9,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 16,765 | $9,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 11,000 | $9,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 25,250 | $8,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,266 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 16,386 | $8,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 10,900 | $7,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 22,800 | $7,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 11,566 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-18-000006 | this filing | 2018-02-12 | acceptance time not in the bulk data set |