13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-10-27, with 2,144 holding rows worth $9,499,609,000.
- Accession
- 0001333978-15-000009
- Filer
- CIK 1333978
- Filed
- 2015-10-27
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 2,144 entries on the cover page, a total value of $9,499,609,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,499,626,000 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 |
|---|---|---|---|---|---|---|
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 28,500 | $86,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 10,052 | $86,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 34,967 | $85,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 17,111 | $84,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 18,773 | $84,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,554 | $84,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 16,900 | $83,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 10,986 | $82,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 35,802 | $82,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 10,396 | $80,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 19,036 | $78,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 13,843 | $77,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 30,751 | $77,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 26,470 | $77,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 20,778 | $76,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 15,812 | $74,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 19,879 | $74,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 10,402 | $73,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 17,474 | $71,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 70,000 | $71,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 70,000 | $70,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 13,447 | $70,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 20,978 | $69,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 40,400 | $69,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 42,130 | $69,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 16,189 | $68,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 14,350 | $68,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 15,832 | $68,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 71,235 | $68,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 11,305 | $67,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 15,700 | $66,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 10,003 | $64,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,982 | $63,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 17,523 | $63,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 23,329 | $63,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 10,017 | $63,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,114 | $62,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 36,483 | $62,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 14,437 | $62,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 39,515 | $62,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 16,384 | $58,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,086 | $58,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 25,210 | $57,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 10,422 | $56,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,060 | $55,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,088 | $54,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 19,925 | $54,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 28,304 | $53,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 30,315 | $52,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 18,106 | $52,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 22,248 | $52,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 59,547 | $51,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 55,467 | $51,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 46,600 | $51,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 12,142 | $51,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 42,900 | $49,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 21,820 | $49,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 25,365 | $48,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 19,790 | $48,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 24,170 | $47,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 26,721 | $46,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 25,765 | $45,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 34,900 | $44,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 82,805 | $44,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,000 | $44,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 18,201 | $43,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 23,816 | $43,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 24,382 | $42,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 15,074 | $42,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 20,886 | $42,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 12,600 | $42,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $41,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 30,000 | $40,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,570 | $38,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 13,915 | $38,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 12,952 | $38,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 39,000 | $38,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 13,419 | $35,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 15,154 | $35,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 18,324 | $34,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 44,675 | $34,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,303 | $33,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 12,385 | $33,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 23,677 | $33,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 25,359 | $32,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,873 | $31,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,965 | $31,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 38,435 | $31,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 30,000 | $30,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 57,498 | $30,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $30,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 15,305 | $29,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 106,432 | $29,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 28,000 | $28,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 19,342 | $28,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 82,467 | $28,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 15,036 | $26,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 16,500 | $26,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,020 | $25,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 42,500 | $24,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 12,324 | $24,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 11,006 | $24,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 26,733 | $22,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 45,087 | $21,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 11,000 | $21,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 17,040 | $21,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 12,798 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 20,000 | $20,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 10,519 | $17,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 10,590 | $17,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 62,798 | $16,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 15,000 | $15,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 21,080 | $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 | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 11,000 | $14,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 12,148 | $13,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 29,205 | $13,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 10,000 | $12,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,417 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,100 | $11,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,550 | $11,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 27,000 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 26,294 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 11,000 | $9,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 10,400 | $9,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 15,090 | $9,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 65,400 | $9,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 42,681 | $8,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 17,054 | $8,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 10,600 | $8,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 16,400 | $8,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 16,105 | $6,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 20,833 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 14,045 | $5,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 18,596 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 11,400 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 11,900 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 26,000 | $3,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 11,298 | $3,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 16,500 | $3,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 13,365 | $3,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 10,350 | $3,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 16,836 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-15-000009 | this filing | 2015-10-27 | acceptance time not in the bulk data set |