13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-10-17, with 2,092 holding rows worth $8,227,085,000.
- Accession
- 0001333978-14-000015
- Filer
- CIK 1333978
- Filed
- 2014-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 2,092 entries on the cover page, a total value of $8,227,085,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,227,089,000 with VALUE read as thousands by filing date, 13F file number 028-13650. 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 |
|---|---|---|---|---|---|---|
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 25,665 | $60,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,965 | $59,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 19,925 | $59,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 64,830 | $58,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 10,500 | $58,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 11,870 | $57,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 20,337 | $56,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 23,660 | $56,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,079 | $55,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 42,000 | $55,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,982 | $53,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 39,802 | $53,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 33,910 | $52,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,000 | $52,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 20,130 | $51,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 27,783 | $48,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 11,820 | $47,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 27,000 | $46,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 14,950 | $45,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 39,435 | $45,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC | 955306AA3 | SDCV 4.000% 3/1 | 30,000 | $45,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 17,711 | $43,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 10,768 | $43,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 30,380 | $43,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,763 | $40,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,284 | $40,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 10,506 | $39,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 20,000 | $39,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,778 | $38,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 13,400 | $38,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 25,150 | $37,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 13,241 | $36,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 11,630 | $33,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 30,000 | $32,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 32,000 | $32,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 22,387 | $32,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,429 | $32,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 23,000 | $32,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 15,350 | $31,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 20,791 | $28,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 19,305 | $27,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 10,050 | $27,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 21,785 | $27,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 11,784 | $25,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 20,000 | $25,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 10,400 | $24,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 24,000 | $24,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $24,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $24,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 22,000 | $23,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 10,295 | $22,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,550 | $22,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 10,400 | $22,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 13,583 | $22,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 16,695 | $21,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 18,500 | $21,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,105 | $19,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 23,500 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,308 | $19,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 19,000 | $19,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 310,933 | $18,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 16,000 | $18,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 16,000 | $17,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 19,000 | $17,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 16,000 | $17,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 17,000 | $17,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 16,000 | $17,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 16,000 | $17,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 13,000 | $16,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 15,000 | $16,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 16,000 | $16,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 10,399 | $16,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 10,782 | $15,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 25,700 | $15,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 15,000 | $15,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 15,000 | $15,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 14,000 | $14,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 10,000 | $14,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 14,000 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 28,653 | $13,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 13,000 | $13,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 12,000 | $12,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 12,000 | $12,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 44,243 | $12,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 11,000 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 10,751 | $10,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 10,000 | $10,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 15,200 | $7,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 42,700 | $5,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 55,000 | $4,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-14-000015 | this filing | 2014-10-17 | acceptance time not in the bulk data set |