13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-11, with 2,676 holding rows worth $18,827,885,000.
- Accession
- 0000312272-19-000003
- Filer
- CIK 312272
- Filed
- 2019-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 2,676 entries on the cover page, a total value of $18,827,885,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,826,528,000 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 |
|---|---|---|---|---|---|---|
| ENERGOUS CORP | 29272C103 | COM | 16,230 | $93,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 22,494 | $91,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 10,765 | $90,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 53,390 | $90,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,108 | $89,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 95,995 | $87,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,468 | $86,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,553 | $86,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 10,464 | $86,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 90,666 | $86,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,302 | $85,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 15,560 | $85,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 16,933 | $84,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 10,129 | $84,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 28,978 | $84,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 13,102 | $83,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,796 | $83,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 627,401 | $83,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $81,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 11,310 | $81,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 22,928 | $81,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 36,113 | $81,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 56,010 | $81,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 16,642 | $80,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $80,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 16,151 | $78,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 33,858 | $77,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 16,000 | $77,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 24,200 | $75,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 19,025 | $74,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 11,550 | $74,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 133,952 | $73,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 75,000 | $73,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 28,692 | $71,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 28,003 | $71,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,772 | $70,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 26,354 | $69,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 14,470 | $69,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 315,889 | $69,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 11,338 | $68,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 65,999 | $68,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 64,928 | $68,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 38,401 | $66,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 12,025 | $66,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 12,500 | $66,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,022 | $65,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 87,793 | $65,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,290 | $62,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 14,116 | $61,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 11,770 | $61,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 17,224 | $61,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,037 | $60,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 23,183 | $60,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 59,417 | $60,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 11,153 | $58,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 13,302 | $55,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 19,451 | $55,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 11,362 | $55,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 15,916 | $54,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 12,775 | $54,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 27,815 | $53,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 15,356 | $53,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 19,150 | $53,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 10,437 | $51,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 38,978 | $51,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 16,313 | $51,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $51,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 32,027 | $49,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,387 | $47,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 52,978 | $45,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 37,953 | $45,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $45,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 40,984 | $43,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 10,630 | $43,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,664 | $43,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 45,000 | $43,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 14,420 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 11,143 | $41,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,210 | $41,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 12,214 | $41,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $41,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 11,300 | $40,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 29,190 | $40,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,188 | $38,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 110,929 | $38,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $37,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 38,000 | $37,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 14,000 | $36,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 37,000 | $36,000 | thousands by filing date | |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 35,000 | $36,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 63,054 | $35,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 30,090 | $35,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 31,788 | $35,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 15,852 | $35,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 18,500 | $34,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 10,951 | $34,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 16,285 | $34,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 35,000 | $34,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 22,200 | $33,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 20,713 | $32,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 18,871 | $31,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,900 | $30,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 13,635 | $30,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 48,306 | $30,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 52,665 | $29,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 30,000 | $29,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $29,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 47,711 | $28,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 12,314 | $27,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $26,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 18,700 | $26,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $26,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $25,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,570 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 30,000 | $24,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 23,250 | $24,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 11,582 | $23,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 69,677 | $23,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $23,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $23,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $23,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $23,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,851 | $22,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 16,000 | $21,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 29,000 | $21,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 13,534 | $20,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 20,000 | $19,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 38,439 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 16,000 | $17,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $17,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 17,000 | $16,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 30,938 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $16,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 14,134 | $16,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 16,000 | $16,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 12,488 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 10,740 | $15,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 15,000 | $14,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 11,445 | $14,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 15,000 | $14,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 14,000 | $13,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 17,416 | $13,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 34,553 | $13,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,975 | $12,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,193 | $12,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,110 | $11,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 23,750 | $11,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 15,626 | $11,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 20,180 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 21,876 | $10,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 10,000 | $10,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,105 | $9,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 23,451 | $9,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $9,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 22,330 | $9,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 10,000 | $9,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 34,363 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 24,974 | $7,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 42,146 | $7,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 10,000 | $7,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 19,071 | $7,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,200 | $6,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 12,061 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,360 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 18,530 | $4,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 10,151 | $4,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $4,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 11,082 | $3,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 19,898 | $3,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 30,787 | $3,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 17,278 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 17,355 | $3,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 25,069 | $2,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 12,141 | $2,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 13,203 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-19-000003 | this filing | 2019-02-11 | acceptance time not in the bulk data set |