13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-04-28, with 2,183 holding rows worth $9,632,960,000.
- Accession
- 0001333978-15-000005
- Filer
- CIK 1333978
- Filed
- 2015-04-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 2,183 entries on the cover page, a total value of $9,632,960,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,632,947,000 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 |
|---|---|---|---|---|---|---|
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 23,292 | $145,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,310 | $144,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 92,855 | $143,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 347,804 | $142,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 51,900 | $141,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 19,061 | $141,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,631 | $140,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 17,083 | $140,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 15,207 | $140,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 11,812 | $140,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 39,524 | $140,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 24,184 | $139,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 28,664 | $138,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,664 | $137,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 12,905 | $137,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 12,895 | $135,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 24,656 | $135,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 12,027 | $134,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 22,858 | $133,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 19,623 | $133,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 19,248 | $133,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 59,494 | $129,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 13,841 | $128,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 32,192 | $127,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 14,931 | $124,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 13,700 | $123,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 19,163 | $122,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 11,052 | $122,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,538 | $121,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 63,809 | $121,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,206 | $120,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 31,115 | $119,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 16,674 | $119,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 10,152 | $118,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,167 | $118,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 11,695 | $117,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 12,650 | $117,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 28,304 | $117,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 13,249 | $117,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,806 | $116,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 93,145 | $116,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 12,229 | $115,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 28,700 | $112,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 14,289 | $111,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 10,124 | $111,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 13,106 | $111,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 10,848 | $111,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 14,542 | $110,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 27,074 | $110,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 10,293 | $109,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 22,398 | $109,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 11,247 | $107,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 17,421 | $107,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 11,465 | $106,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 36,217 | $104,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 108,803 | $103,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 15,092 | $102,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 39,186 | $101,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 15,924 | $101,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 12,336 | $101,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 11,288 | $100,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,274 | $98,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 17,869 | $98,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 46,198 | $97,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 10,290 | $96,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 10,853 | $96,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 10,000 | $96,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,065 | $93,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 16,476 | $92,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 42,130 | $92,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 13,861 | $91,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 17,358 | $91,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 17,172 | $89,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 10,128 | $89,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 11,877 | $88,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 12,670 | $86,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,982 | $85,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 31,307 | $84,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 15,547 | $83,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 18,618 | $83,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 24,598 | $82,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 11,073 | $82,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 24,301 | $82,000 | thousands by filing date | |
| PSB HLDGS INC | 69360W108 | COM | 10,920 | $82,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 30,900 | $81,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 16,929 | $80,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 13,345 | $80,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,000 | $79,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 11,387 | $79,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 13,337 | $78,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 27,125 | $77,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 10,000 | $75,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 66,635 | $74,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 44,101 | $73,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 70,000 | $71,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 19,036 | $67,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 11,231 | $67,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,600 | $66,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 80,500 | $66,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 23,221 | $65,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 17,600 | $65,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 11,781 | $64,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 10,355 | $63,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 17,740 | $63,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,000 | $61,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 12,732 | $60,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 13,724 | $60,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 37,802 | $60,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,178 | $59,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 16,079 | $58,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 24,785 | $58,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 13,740 | $57,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 14,797 | $57,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 20,846 | $56,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 68,798 | $56,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 29,387 | $53,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 18,800 | $53,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 17,623 | $52,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 11,000 | $48,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 78,160 | $48,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 47,100 | $48,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 10,006 | $48,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 21,048 | $47,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 11,220 | $47,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 70,367 | $46,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 12,902 | $46,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 25,383 | $44,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,965 | $42,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 30,000 | $42,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 43,671 | $41,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,685 | $40,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 11,055 | $40,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 13,987 | $40,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 109,521 | $40,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 10,634 | $39,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,986 | $38,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,550 | $38,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 48,830 | $33,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 10,100 | $32,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 32,000 | $32,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 28,200 | $32,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,328 | $31,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 30,000 | $30,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 30,309 | $30,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 38,435 | $30,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 22,426 | $29,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $28,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 13,070 | $25,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 19,305 | $25,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 12,765 | $25,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 20,833 | $25,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $24,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 17,140 | $24,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 32,408 | $24,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 18,979 | $24,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 11,576 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 20,000 | $20,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $19,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 11,305 | $19,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 16,903 | $17,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 15,000 | $16,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 15,000 | $15,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 18,500 | $15,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 10,000 | $15,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 10,400 | $13,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 13,232 | $10,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 17,310 | $10,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,605 | $9,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 26,000 | $9,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 12,551 | $9,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 19,819 | $8,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 25,700 | $6,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 11,741 | $6,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 12,591 | $5,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 10,000 | $5,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 11,298 | $4,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 21,000 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 10,400 | $4,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 16,836 | $4,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 10,350 | $4,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 15,200 | $3,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 27,300 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-15-000005 | this filing | 2015-04-28 | acceptance time not in the bulk data set |