13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-29, with 3,573 holding rows worth $39,837,640,000.
- Accession
- 0000312272-21-000019
- Filer
- CIK 312272
- Filed
- 2021-10-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 3,573 entries on the cover page, a total value of $39,837,640,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $39,835,887,000 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 |
|---|---|---|---|---|---|---|
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,902 | $46,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 21,522 | $46,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 12,407 | $46,000 | thousands by filing date | |
| UPHEALTH INC | 91532B101 | COM | 14,525 | $45,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 45,000 | $45,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 11,454 | $44,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 25,875 | $43,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 16,019 | $41,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 21,405 | $41,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 10,000 | $41,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 22,128 | $40,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,360 | $39,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 28,086 | $38,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 19,595 | $37,000 | thousands by filing date | |
| Hive Blockchain Technologies L | 43366H100 | COM | 14,220 | $37,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 14,098 | $37,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 27,901 | $37,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 44,923 | $35,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $35,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 12,980 | $34,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 11,311 | $34,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 22,939 | $33,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 33,000 | $33,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 12,041 | $32,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 19,029 | $32,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 10,697 | $32,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 10,284 | $31,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 33,731 | $31,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 34,474 | $31,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 49,396 | $31,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 20,000 | $29,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 25,010 | $28,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 21,955 | $28,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 10,525 | $28,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 19,908 | $27,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 13,000 | $26,000 | thousands by filing date | |
| CYBIN INC | 23256X100 | COM | 12,200 | $26,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 21,932 | $25,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 12,525 | $25,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 39,784 | $25,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 58,665 | $25,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 11,197 | $23,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,850 | $23,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 15,236 | $22,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 28,238 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 20,000 | $21,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 10,948 | $21,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 10,000 | $21,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 11,396 | $20,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 10,425 | $18,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 38,050 | $17,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 18,790 | $17,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 14,121 | $17,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 16,549 | $17,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 10,000 | $14,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 15,000 | $14,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 12,850 | $13,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 17,488 | $12,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 22,000 | $12,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 11,978 | $12,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 11,000 | $11,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 20,525 | $11,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 16,294 | $11,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 10,000 | $10,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 24,353 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 23,345 | $9,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 15,960 | $9,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 19,166 | $9,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 10,030 | $6,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 10,000 | $5,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 10,143 | $5,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G156 | RIGHT 10/01/2021 | 52,140 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-21-000019 | this filing | 2021-10-29 | acceptance time not in the bulk data set |