Commonwealth Equity Services, Inc

13F filer, CIK 1333978, WALTHAM, MA

Commonwealth Equity Services, Inc reported $12,605,500,000 across 2,254 holdings for the quarter ended 2016-09-30, in a 13F-HR filed 2016-10-25. Its ten largest share positions make up 18.27% of the portfolio.

Filed 2016-10-25 (acceptance time not in the bulk data set), ingested 2026-10-07 19:11:14 UTC13F-HR 0001333978-16-000018

Period: 2016-09-30
Reported value: $12.6B
Holdings: 2,254
Top 10 weight: 18.27%
New: 131
Sold out: 117

Largest buys vs the previous quarter

Security	Shares change	Approx. value
HDVadded	+251,368	$20.4M
VEAadded	+516,195	$19.3M
IJRadded	+140,149	$17.4M
IJHadded	+112,199	$17.4M
ITOTadded	+332,563	$16.5M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
TLTreduced	-108,181	-$14.9M
E M C CORP MASSexited	-283,269	-$7.7M
JOHNSON CONTROLS INT Fexited	-145,061	-$6.42M
FXGreduced	-133,907	-$6.22M
PowerShares QQQ Trust Unit …reduced	-49,459	-$5.87M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2016

Share positions as resolved from 13F-HR 0001333978-16-000018, largest first. % of portfolio is the value over $12,605,516,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Timeline
IDEAL PWR INCIDEAL PWR INC	37,600	$194K	<0.01%	0
INOVIO PHARMACEUTICALS INCINOVIO PHARMACEUTICALS INC	20,702	$193K	<0.01%	+10,666
XMCRXMFS CHARTER INCOME TR	22,276	$192K	<0.01%	new	Timeline
GLPGLOBAL PARTNERS LP	11,847	$191K	<0.01%	-1,710	Timeline
XDHYXCREDIT SUISSE HIGH YIELD CRE	73,932	$191K	<0.01%	+4,992	Timeline
WEATHERFORD INTL INC ORD SHSWEATHERFORD INTL INC ORD SHS	34,031	$191K	<0.01%	+2,677
RPDRAPID7 INC	10,698	$189K	<0.01%	0	Timeline
SPFFGLOBAL X FDS	13,963	$188K	<0.01%	+510	Timeline
AMERICA FIRST MULTIFAMILY INAMERICA FIRST MULTIFAMILY IN	31,799	$188K	<0.01%	+3,854
PANDORA MEDIA INCPANDORA MEDIA INC	13,152	$188K	<0.01%	-1,988
POWERSHARES ETF TRUST IIPOWERSHARES ETF TRUST II	11,533	$188K	<0.01%	-6,982
SBCFSEACOAST BKG CORP FLA	11,646	$187K	<0.01%	0	Timeline
CORECIVIC INCCORECIVIC INC	13,430	$186K	<0.01%	-3,527
NIMNUVEEN SELECT MAT MUN FD	17,178	$184K	<0.01%	+517	Timeline
CLMCORNERSTONE STRATEGIC INVEST	12,263	$183K	<0.01%	0	Timeline
EHIWESTERN ASSET GBL HIGH INC F	17,713	$181K	<0.01%	+3,851	Timeline
TDFTEMPLETON DRAGON FD INC	10,183	$180K	<0.01%	-1,014	Timeline
FAIRMOUNT SANTROL HLDGS INCFAIRMOUNT SANTROL HLDGS INC	21,225	$180K	<0.01%	+300
BLACKROCK MASS TAX-EXEMPT TRBLACKROCK MASS TAX-EXEMPT TR	12,142	$179K	<0.01%	+19
BCRXBIOCRYST PHARMACEUTICALS INC	40,255	$178K	<0.01%	0	Timeline
PEREGRINE PHARMACEUTICALS INPEREGRINE PHARMACEUTICALS IN	413,211	$178K	<0.01%	-7,850
STUDENT TRANSPORTATION INCSTUDENT TRANSPORTATION INC	29,758	$178K	<0.01%	-472
CFFNCAPITOL FED FINL INC	12,605	$177K	<0.01%	-469	Timeline
ALPINE TOTAL DYNAMIC DIVID FALPINE TOTAL DYNAMIC DIVID F	23,003	$176K	<0.01%	-5,771
XWIAXWESTERN ASSET INFLT LNK INC	15,320	$175K	<0.01%	+34	Timeline
FITBIT INCFITBIT INC	11,812	$175K	<0.01%	+1,220
EARTHLINK HLDGS CORPEARTHLINK HLDGS CORP	28,018	$174K	<0.01%	+11,558
VGMINVESCO TR INVT GRADE MUNS	12,215	$172K	<0.01%	-1,174	Timeline
ADVAXIS INCADVAXIS INC	16,125	$172K	<0.01%	+3,000
PB BANCORP INCPB BANCORP INC	19,784	$172K	<0.01%	+116
NUVEEN TX ADV TOTAL RET STRGNUVEEN TX ADV TOTAL RET STRG	14,251	$171K	<0.01%	-112
VTNINVESCO TR INVT GRADE NEW YO	11,080	$171K	<0.01%	+48	Timeline
NUVEEN MD PREM INC MUNI FUNDNUVEEN MD PREM INC MUNI FUND	12,325	$171K	<0.01%	-1,797
FIRST TR/ABERDEEN EMERG OPTFIRST TR/ABERDEEN EMERG OPT	11,236	$170K	<0.01%	new
PIONEER MUNICIPAL HIGH INCO…PIONEER MUNICIPAL HIGH INCOME	12,815	$168K	<0.01%	-1,507
CLEARBRIDGE MLP AND MIDSTRMCLEARBRIDGE MLP AND MIDSTRM	12,789	$167K	<0.01%	-423
BLACKROCK MUN INCOME INVT TRBLACKROCK MUN INCOME INVT TR	10,791	$166K	<0.01%	+54
DEUTSCHE HIGH INCOME OPPORTDEUTSCHE HIGH INCOME OPPORT	11,563	$164K	<0.01%	+7
MPABLACKROCK MUNIYIELD PA QUALI	10,170	$163K	<0.01%	new	Timeline
XEVGXEATON VANCE SHORT DURATION D	11,725	$161K	<0.01%	+414	Timeline
AXGNAXOGEN INC	17,711	$160K	<0.01%	0	Timeline
GERNGERON CORP	70,197	$159K	<0.01%	-3,200	Timeline
IVY HIGH INCOME OPPORTUNITIEIVY HIGH INCOME OPPORTUNITIE	11,060	$159K	<0.01%	+1,000
NUVEEN FLOATING RATE INCOME…NUVEEN FLOATING RATE INCOME OP	14,224	$157K	<0.01%	-3,261
iShares Msci SingaporeiShares Msci Singapore	14,327	$156K	<0.01%	-894
MWAMUELLER WTR PRODS INC	12,319	$155K	<0.01%	+9	Timeline
HALOHALOZYME THERAPEUTICS INC	12,680	$153K	<0.01%	0	Timeline
CVECENOVUS ENERGY INC	10,639	$153K	<0.01%	-2,924	Timeline
ALOTASTRONOVA INC	10,310	$153K	<0.01%	0	Timeline
GRXGABELLI HEALTHCARE & WELLNES	14,731	$153K	<0.01%	-937	Timeline
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNI	12,908	$152K	<0.01%	+753
ALON USA PARTNERS LP UNIT L…ALON USA PARTNERS LP UNIT LTD PAR…	17,652	$152K	<0.01%	+4,535
NVRIENVIRI CORP	15,180	$151K	<0.01%	0	Timeline
EATON VANCE NEW YORK MUN BDEATON VANCE NEW YORK MUN BD	10,500	$150K	<0.01%	0
INVENSENSE INCINVENSENSE INC	20,192	$150K	<0.01%	-2,812
AMDADVANCED MICRO DEVICES INC	21,622	$149K	<0.01%	+3,875	Timeline
PLABPHOTRONICS INC	14,333	$148K	<0.01%	0	Timeline
VOXX INTERNATIONAL CORPVOXX INTERNATIONAL CORP	49,654	$148K	<0.01%	0
BOSTON PRIVATE FINL HLDGS I…BOSTON PRIVATE FINL HLDGS INC COM	11,499	$148K	<0.01%	0
ABEVAMBEV SA	24,207	$147K	<0.01%	+560	Timeline
RYAMRAYONIER ADVANCED MATLS INC	10,947	$146K	<0.01%	new	Timeline
NORTHEAST BANCORPNORTHEAST BANCORP	12,650	$146K	<0.01%	0
NSSCNAPCO SEC TECHNOLOGIES INC	20,220	$145K	<0.01%	-5,000	Timeline
BARNES & NOBLE ED INCBARNES & NOBLE ED INC	15,104	$145K	<0.01%	+1,436
MSB FINL CORP NEWMSB FINL CORP NEW	10,724	$145K	<0.01%	0
SOUTHWESTERN ENERGY COSOUTHWESTERN ENERGY CO	10,376	$144K	<0.01%	-557
LEGG MASON BW GLB INC OPP FDLEGG MASON BW GLB INC OPP FD	10,583	$144K	<0.01%	+185
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUST	27,006	$143K	<0.01%	-141
CLEARBRIDGE AMERN ENERG MLPCLEARBRIDGE AMERN ENERG MLP	15,802	$142K	<0.01%	-8,464
NEONEOGENOMICS INC	17,200	$141K	<0.01%	+200	Timeline
SJTSAN JUAN BASIN RTY TR	23,873	$141K	<0.01%	+721	Timeline
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION	138,000	$141K	<0.01%	+10,000
PFOFLAHERTY & CRUMRINE PFD INCO	12,045	$139K	<0.01%	-610	Timeline
WESTERN ASSET EMRG MKT INCMWESTERN ASSET EMRG MKT INCM	12,039	$139K	<0.01%	new
CAPSTEAD MTG CORPCAPSTEAD MTG CORP	14,522	$137K	<0.01%	+992
ERICTELEFONAKTIEBOLAGET LM ERICS	18,913	$136K	<0.01%	+118	Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INC	22,586	$136K	<0.01%	-3,475
Invesco Global Listed Priva…Invesco Global Listed Private Equ…	12,505	$136K	<0.01%	-90
BROCADE COMMUNICATIONS SYS IBROCADE COMMUNICATIONS SYS I	14,772	$136K	<0.01%	-339
ENERPLUS CORPENERPLUS CORP	20,881	$134K	<0.01%	-738
ENCANA CORPENCANA CORP	12,818	$134K	<0.01%	-735
TRC COS INCTRC COS INC	15,398	$134K	<0.01%	0
NGNOVAGOLD RESOURCES INC	23,398	$131K	<0.01%	+7,990	Timeline
BLDPBALLARD PWR SYS INC NEW	58,550	$129K	<0.01%	+2,382	Timeline
MLSSMILESTONE SCIENTIFIC INC	59,690	$129K	<0.01%	-4,947	Timeline
FCOABRDN GLOBAL INCOME FUND INC	14,524	$128K	<0.01%	-9,045	Timeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYS	22,957	$127K	<0.01%	-3,692
SPPPSPROTT ASSET MANAGEMENT LP	16,200	$124K	<0.01%	+3,000	Timeline
NEW SR INVT GROUP INCNEW SR INVT GROUP INC	10,749	$124K	<0.01%	new
FIFTH STREET FIN CORP COMFIFTH STREET FIN CORP COM	20,989	$122K	<0.01%	+1,328
BLACKROCK INCOME TR INCBLACKROCK INCOME TR INC	18,725	$121K	<0.01%	-2,916
VALEVALE S A	21,973	$121K	<0.01%	-12,104	Timeline
SUPERVALU INCSUPERVALU INC	23,747	$119K	<0.01%	-187
TICC CAPITAL CORPTICC CAPITAL CORP	20,386	$119K	<0.01%	-253
PFBXPEOPLES FINANCIAL CORPORATION	10,848	$116K	<0.01%	0	Timeline
DNNDENISON MINES CORP	241,862	$114K	<0.01%	0	Timeline
WEIGHT WATCHERS INTL INCWEIGHT WATCHERS INTL INC	11,027	$114K	<0.01%	-380
EODALLSPRING GLOBAL DIVIDEND OP	19,472	$113K	<0.01%	-2,832	Timeline
TGSTRANSPORTADORA DE GAS DEL SU	16,352	$112K	<0.01%	0	Timeline
COHEN & STEERS GLOBAL INC B…COHEN & STEERS GLOBAL INC BLDR	12,584	$112K	<0.01%	+106
TEEKAY CORPORATIONTEEKAY CORPORATION	14,401	$111K	<0.01%	-1,860
ELEMENTS ROGERS INTL CMDTY …ELEMENTS ROGERS INTL CMDTY AGRI T…	17,635	$109K	<0.01%	-2,545
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75…	105,000	$108K	<0.01%	0
PUTMAN HIGH INCOME SEC FUNDPUTMAN HIGH INCOME SEC FUND	13,347	$107K	<0.01%	new
POLYMET MINING CORPPOLYMET MINING CORP	133,215	$107K	<0.01%	+9,178
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION	105,000	$107K	<0.01%	0
MSDMORGAN STANLEY EMKT DBT FD I	10,966	$106K	<0.01%	-566	Timeline
DREYFUSDREYFUS	30,872	$106K	<0.01%	-1,181
NMLNEUBERGER ENGY INFRSTR & INC	11,200	$104K	<0.01%	-3,686	Timeline
CCJCAMECO CORP	11,875	$102K	<0.01%	+1,198	Timeline
IGAVOYA GLBL ADV & PREM OPP FD	10,068	$102K	<0.01%	-10,910	Timeline
IMMUNOMEDICS INCIMMUNOMEDICS INC	31,315	$102K	<0.01%	+1,000
PPTFRANKLIN PREMIER INCOME TR	20,385	$100K	<0.01%	-251	Timeline
CLOUD PEAK ENERGY INCCLOUD PEAK ENERGY INC	18,452	$100K	<0.01%	+800
AEGON N VAEGON N V	25,616	$99K	<0.01%	+4,622
FUNDSPROTT FOCUS TR INC	14,346	$99K	<0.01%	-2,214	Timeline
THERAPEUTICSMD INCTHERAPEUTICSMD INC	14,524	$99K	<0.01%	-2,576
FUELCELL ENERGY INCFUELCELL ENERGY INC	18,192	$99K	<0.01%	+4,305
USALIBERTY ALL STAR EQUITY FD	18,482	$96K	<0.01%	-1,363	Timeline
DEUTSCHE HIGH INCOME TR SHSDEUTSCHE HIGH INCOME TR SHS	10,432	$96K	<0.01%	0
EVERYDAY HEALTH INC COMEVERYDAY HEALTH INC COM	12,474	$96K	<0.01%	new
CYS INVTS INCCYS INVTS INC	10,760	$94K	<0.01%	new
CALUMET SPECIALTY PRODS PARTCALUMET SPECIALTY PRODS PART	20,158	$91K	<0.01%	-1,485
FIAT CHRYSLER AUTOMOBILES NFIAT CHRYSLER AUTOMOBILES N	13,988	$90K	<0.01%	+1,361
FIFTH STR SR FLOATNG RATE C…FIFTH STR SR FLOATNG RATE CORP COM	10,521	$90K	<0.01%	new
CXCEMEX SAB DE CV	11,245	$89K	<0.01%	-2,027	Timeline
OCH ZIFF CAP MGMT GROUP CL AOCH ZIFF CAP MGMT GROUP CL A	20,552	$89K	<0.01%	-1,500
IDERA PHARMACEUTICALS INCIDERA PHARMACEUTICALS INC	34,600	$89K	<0.01%	0
BROOKFIELD HIGH INCOME FD I…BROOKFIELD HIGH INCOME FD INC COM	12,171	$89K	<0.01%	0
FRBKQREPUBLIC FIRST BANCORP INC	20,879	$86K	<0.01%	0	Timeline
IRDMIRIDIUM COMMUNICATIONS INC	10,500	$85K	<0.01%	0	Timeline
ORGANOVO HOLDINGS INCORGANOVO HOLDINGS INC	21,971	$83K	<0.01%	+90
PENGROWTH ENERGY CORPPENGROWTH ENERGY CORP	51,353	$82K	<0.01%	+314
TANZANIAN ROYALTY EXPLORATI…TANZANIAN ROYALTY EXPLORATION COR…	102,565	$82K	<0.01%	-1,500
MFS SPECIAL VALUE TRUSTMFS SPECIAL VALUE TRUST	14,346	$82K	<0.01%	+143
VONAGE HLDGS CORPVONAGE HLDGS CORP	12,300	$81K	<0.01%	new
IBNICICI BK LTD	10,722	$80K	<0.01%	-1,306	Timeline
GGTGABELLI MULTIMEDIA TR INC	10,383	$80K	<0.01%	-1,138	Timeline
CXEMFS HIGH INCOME MUN TR	14,852	$80K	<0.01%	+1,738	Timeline
FORTUNA MNG CORP FFORTUNA MNG CORP F	10,909	$79K	<0.01%	new
JUST ENERGY GROUP INCJUST ENERGY GROUP INC	15,204	$77K	<0.01%	+44
SUMMER INFANT INCSUMMER INFANT INC	35,676	$77K	<0.01%	+1,894
NGDNEW GOLD INC	17,418	$76K	<0.01%	+200	Timeline
SYNERON MEDICAL LTDSYNERON MEDICAL LTD	10,606	$76K	<0.01%	new
MFMABERDEEN MUN INCOME FD	10,056	$75K	<0.01%	new	Timeline
AMARIN CORP PLCAMARIN CORP PLC	23,466	$75K	<0.01%	+2,796
SEADRILL ORDSEADRILL ORD	31,353	$74K	<0.01%	-758
SWEDISH EXPT CR CORPSWEDISH EXPT CR CORP	14,728	$74K	<0.01%	-2,126
ANTARES PHARMA INCANTARES PHARMA INC	43,930	$74K	<0.01%	+530
ZYNGA INC.ZYNGA INC.	25,035	$73K	<0.01%	+1,420
ENERGY FOCUS INCENERGY FOCUS INC	14,507	$71K	<0.01%	+2,400
AK STEEL HOLDING CORPAK STEEL HOLDING CORP	14,337	$69K	<0.01%	+689
NEVSUN RES LTDNEVSUN RES LTD	22,277	$68K	<0.01%	+1,000
VVRINVESCO SR INCOME TR	15,097	$65K	<0.01%	-183	Timeline
PENN WEST PETE LTD NEWPENN WEST PETE LTD NEW	35,068	$63K	<0.01%	+4,100
MANNKIND CORPMANNKIND CORP	100,015	$62K	<0.01%	+6,400
FORTRESS INVT GROUP LLC CL AFORTRESS INVT GROUP LLC CL A	12,266	$61K	<0.01%	-3,205
FTEKFUEL TECH INC	42,548	$60K	<0.01%	+483	Timeline
DERMA SCIENCES INCDERMA SCIENCES INC	12,900	$60K	<0.01%	-1,950
KERYX BIOPHARMACEUTICALSKERYX BIOPHARMACEUTICALS	10,684	$57K	<0.01%	-2,674
BOVIE MEDICAL CORPBOVIE MEDICAL CORP	10,700	$56K	<0.01%	new
ELDORADO GOLD CORP NEWELDORADO GOLD CORP NEW	13,964	$55K	<0.01%	+1,275
RELM WIRELESS CORPRELM WIRELESS CORP	10,335	$55K	<0.01%	+171
ARENA PHARMECEUTICALS INCARENA PHARMECEUTICALS INC	29,824	$52K	<0.01%	-2,500
SPECTRUM PHARMACEUTICALS INCSPECTRUM PHARMACEUTICALS INC	10,815	$51K	<0.01%	new
MCDERMOTT INTL INCMCDERMOTT INTL INC	10,039	$50K	<0.01%	-1,340
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INC	29,726	$48K	<0.01%	-1,883
Fusion Telecomm Intl IncFusion Telecomm Intl Inc	28,304	$47K	<0.01%	0
PDLIPDL BIOPHARMA INC	13,710	$46K	<0.01%	-51,840	Timeline
PARKER DRILLING COPARKER DRILLING CO	21,410	$46K	<0.01%	+10
EXCO RESOURCES INCEXCO RESOURCES INC	43,450	$46K	<0.01%	+15,400
DENBURY RES INCDENBURY RES INC	14,109	$46K	<0.01%	new
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION	45,000	$44K	<0.01%	+20,000
VANGUARDVANGUARD	48,222	$44K	<0.01%	+238
Royal Bk CDA Sub Nt NVCC Co…Royal Bk CDA Sub Nt NVCC Conve	40,000	$44K	<0.01%	0
OHA INVT CORPOHA INVT CORP	14,000	$44K	<0.01%	+500
ARRHYTHMIA RESH TECHNOLOGY IARRHYTHMIA RESH TECHNOLOGY I	10,000	$42K	<0.01%	new
PLURISTEM THERAPEUTICS INCPLURISTEM THERAPEUTICS INC	24,516	$39K	<0.01%	+1,000
CIKUBS ASSET MGMT INCOME FD INC	11,947	$38K	<0.01%	+171	Timeline
IMMUNOGEN INCIMMUNOGEN INC	13,797	$37K	<0.01%	+741
HHGREGG INCHHGREGG INC	20,000	$37K	<0.01%	0
LIQTECH INTERNATIONALLIQTECH INTERNATIONAL	44,176	$37K	<0.01%	0
ABRAXAS PETROLEUM CORPABRAXAS PETROLEUM CORP	21,170	$36K	<0.01%	-2,706
DURECT CORPDURECT CORP	26,000	$36K	<0.01%	+10,500
DANAHER CORP DELDANAHER CORP DEL	12,000	$36K	<0.01%	0
ANI PHARMACEUTICALS INCANI PHARMACEUTICALS INC	29,000	$36K	<0.01%	new
ATLANTIC PWR CORPATLANTIC PWR CORP	13,848	$34K	<0.01%	-540
NOVATEL WIRELESS INCNOVATEL WIRELESS INC	11,006	$34K	<0.01%	0
ANTHERA PHARMACEUTCLS INCANTHERA PHARMACEUTCLS INC	10,895	$34K	<0.01%	0
PROPHASE LABS INCPROPHASE LABS INC	16,500	$33K	<0.01%	0
ADDVANTAGE TECHNOLOGIES GRPADDVANTAGE TECHNOLOGIES GRP	18,220	$32K	<0.01%	0
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS I	34,087	$31K	<0.01%	0
TRANSENTERIX INCTRANSENTERIX INC	17,980	$30K	<0.01%	+6,000
PHOTRONICS INCPHOTRONICS INC	25,000	$30K	<0.01%	new
MEMORIAL PRODUCTION PARTNERSMEMORIAL PRODUCTION PARTNERS	16,221	$29K	<0.01%	-7,496
HGTXUHUGOTON ROYALTY TST UBI	12,352	$29K	<0.01%	+633	Timeline
ATLAS AIR WORLDWIDE HLDGS INATLAS AIR WORLDWIDE HLDGS IN	30,000	$29K	<0.01%	new
EV ENERGY PARTNERS LPEV ENERGY PARTNERS LP	11,165	$27K	<0.01%	-2,343
M/I HOMES INCM/I HOMES INC	27,000	$27K	<0.01%	new
EVOKE PHARMA INCEVOKE PHARMA INC	12,062	$27K	<0.01%	new
BLACKSTONE MTG TR INCBLACKSTONE MTG TR INC	25,000	$27K	<0.01%	new
CPRXCATALYST PHARMACEUTICALS INC	24,000	$26K	<0.01%	-1,500	Timeline
REDWOOD TR INCREDWOOD TR INC	26,000	$26K	<0.01%	new
BIOLINERX LTD-SPONS ADRBIOLINERX LTD-SPONS ADR	23,000	$26K	<0.01%	0
APOLLO COML REAL EST FIN INCAPOLLO COML REAL EST FIN INC	25,000	$26K	<0.01%	new
NWBONORTHWEST BIOTHERAPEUTICS INC.	45,325	$25K	<0.01%	+300	Timeline
Castle Brands IncCastle Brands Inc	28,500	$25K	<0.01%	0
RYLAND GROUP 0.250RYLAND GROUP 0.250	27,000	$25K	<0.01%	new
NANOVIRICIDES INCNANOVIRICIDES INC	14,617	$25K	<0.01%	-286
HURON CONSULTING GROUP INCHURON CONSULTING GROUP INC	25,000	$25K	<0.01%	new
COLONY CAP INCCOLONY CAP INC	25,000	$24K	<0.01%	new
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP	23,000	$24K	<0.01%	new
TPG SPECIALTY LENDING INCTPG SPECIALTY LENDING INC	23,000	$24K	<0.01%	new
ZNOGZION OIL & GAS INC COM	16,662	$23K	<0.01%	+3,575	Timeline
KB HOME 1.375KB HOME 1.375	24,000	$23K	<0.01%	new
NEW MTN FIN CORPNEW MTN FIN CORP	23,000	$23K	<0.01%	new
BIOLASE INCBIOLASE INC	12,447	$22K	<0.01%	0
RENREN INCRENREN INC	10,335	$21K	<0.01%	0
THE BANK OF NOVA4 5 25F …THE BANK OF NOVA4 5 25F …	20,000	$21K	<0.01%	0
IPASS INCIPASS INC	12,138	$20K	<0.01%	-1,800
ENCORE CAP GROUP INCENCORE CAP GROUP INC	25,000	$19K	<0.01%	new
ENVESTNET INCENVESTNET INC	20,000	$19K	<0.01%	-15,000
ACTIVE POWER INCACTIVE POWER INC	66,453	$18K	<0.01%	+4,323
LAM RESEARCH CORPLAM RESEARCH CORP	11,000	$18K	<0.01%	new
VIVUS INCVIVUS INC	15,233	$17K	<0.01%	-100
CERULEAN PHARMA INCCERULEAN PHARMA INC	15,713	$16K	<0.01%	0
BASIC ENERGY SERVICES INCBASIC ENERGY SERVICES INC	17,598	$15K	<0.01%	+3,300
Galena Biopharma IncGalena Biopharma Inc	42,715	$15K	<0.01%	-300
TORCHLIGHT ENERGY RES INCTORCHLIGHT ENERGY RES INC	13,500	$15K	<0.01%	0
SANDRIDGE MISSISSIPPIAN TRU…SANDRIDGE MISSISSIPPIAN TRUST I	10,229	$14K	<0.01%	-1,552
INTEL CORPINTEL CORP	10,000	$14K	<0.01%	0
NAVIOS MARITIME ACQUISITIONNAVIOS MARITIME ACQUISITION	10,711	$14K	<0.01%	+292
BLACKROCK CAPITAL INVESTMENTBLACKROCK CAPITAL INVESTMENT	14,000	$14K	<0.01%	0
SANOFISANOFI	42,794	$12K	<0.01%	+131
BIOSTAGE INCBIOSTAGE INC	11,522	$12K	<0.01%	0
NEOVASC INC COM STKNEOVASC INC COM STK	20,400	$11K	<0.01%	0
HELIX ENERGY SOLUTIONS GROUPHELIX ENERGY SOLUTIONS GROUP	11,000	$10K	<0.01%	0
JEFFERIES GROUP INCJEFFERIES GROUP INC	10,000	$10K	<0.01%	0
ARVINMERITOR INCARVINMERITOR INC	10,000	$10K	<0.01%	0
CYTRX CORPCYTRX CORP	16,701	$10K	<0.01%	0
HORNBECK OFFSHORE SVCS INC NHORNBECK OFFSHORE SVCS INC N	16,000	$9K	<0.01%	new
TEARLAB CORPTEARLAB CORP	12,200	$8K	<0.01%	+200
NAKNORTHERN DYNASTY MINERALS LT	10,012	$7K	<0.01%	-876	Timeline
PALATIN TECHNOLOGIES INCPALATIN TECHNOLOGIES INC	10,750	$7K	<0.01%	-550
NEURALSTEM INCNEURALSTEM INC	23,040	$7K	<0.01%	+10,500
CHESAPEAKE ENERGY CORPCHESAPEAKE ENERGY CORP	39,000	$5K	<0.01%	0
XOMA CORP DELXOMA CORP DEL	10,582	$5K	<0.01%	-500
PROVECTUS BIOPHARMACEUTICALSPROVECTUS BIOPHARMACEUTICALS	44,720	$4K	<0.01%	+1,220
PEDEVCO CORPPEDEVCO CORP	21,630	$4K	<0.01%	-4,600
CTI BIOPHARMA CORP COM NEWCTI BIOPHARMA CORP COM NEW	10,113	$4K	<0.01%	0
TRIANGLE PETE CORPTRIANGLE PETE CORP	10,350	$3K	<0.01%	-1,545
IMMUNOCELLULAR THERAPEUTICSIMMUNOCELLULAR THERAPEUTICS	26,000	$3K	<0.01%	-1,000
FORBES ENERGY SVCS LTDFORBES ENERGY SVCS LTD	12,000	$2K	<0.01%	0
KINDER MORGAN INC DELKINDER MORGAN INC DEL	59,650	$1K	<0.01%	-1,152

Sold out in Q3 2016

Positions in the previous quarter's report that this quarter's report no longer lists.

The largest 100 of 117. All 117

Security	Shares before	Value before	Type
E M C CORP MASSE M C CORP MASS	283,269	$7.7M	shares
JOHNSON CONTROLS INT FJOHNSON CONTROLS INT F	145,061	$6.42M	shares
HMS HLDGS CORPHMS HLDGS CORP	322,683	$5.68M	shares
AGL RES INCAGL RES INC	54,213	$3.58M	shares
DIREXION SHS ETF TRDIREXION SHS ETF TR	94,670	$2.73M	shares
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD	175,272	$2.71M	shares
NUSNU SKIN ENTERPRISES INC	32,829	$1.52M	shares
NUVEEN PERFORMANCE PLUS MUNNUVEEN PERFORMANCE PLUS MUN	91,239	$1.51M	shares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	37,647	$1.43M	shares
ARM HLDGS PLCARM HLDGS PLC	26,875	$1.22M	shares
COLUMBIA PIPELINE GROUP INCCOLUMBIA PIPELINE GROUP INC	42,123	$1.07M	shares
INPHI CORPINPHI CORP	30,450	$975K	shares
BARCLAYS BK PLCBARCLAYS BK PLC	37,255	$953K	shares
SPMBSPDR SERIES TRUST	32,512	$886K	shares
ALPS ETF TRALPS ETF TR	32,717	$849K	shares
TECO ENERGY INCTECO ENERGY INC	29,070	$804K	shares
FIRSTMERIT CORPFIRSTMERIT CORP	39,152	$794K	shares
TEAM HEALTH HOLDINGS INCTEAM HEALTH HOLDINGS INC	19,047	$775K	shares
TYCO INTL PLCTYCO INTL PLC	17,517	$746K	shares
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD	47,450	$732K	shares
LMI AEROSPACE INCLMI AEROSPACE INC	89,398	$719K	shares
SPDR SERIES TRUSTSPDR SERIES TRUST	26,021	$660K	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	7,859	$657K	shares
BARCLAYS IPTH SRS B S&P SHR…BARCLAYS IPTH SRS B S&P SHRT TRM …	46,742	$646K	shares
AMNAMN HEALTHCARE SVCS INC	14,879	$595K	shares
MEAD JOHNSON NUTRITION COMEAD JOHNSON NUTRITION CO	6,462	$586K	shares
CSIQCANADIAN SOLAR INC	37,550	$568K	shares
HERTZ GLOBAL HLDGS INC NHERTZ GLOBAL HLDGS INC N	50,671	$561K	shares
STARWOOD HOTELS&RESORTS WRLDSTARWOOD HOTELS&RESORTS WRLD	7,536	$557K	shares
ROYAL BANK OF SCOTLAND GROU…ROYAL BANK OF SCOTLAND GROUP PLC	21,344	$538K	shares
AshlandAshland	4,583	$526K	shares
SLXVANECK ETF TRUST	17,680	$488K	shares
ACADACADIA PHARMACEUTICALS INC	14,344	$466K	shares
BT GROUP-ADRBT GROUP-ADR	15,885	$442K	shares
MXLMAXLINEAR INC	23,954	$431K	shares
NHSNEUBERGER HIGH YIELD ST FD I	39,107	$428K	shares
CNKCINEMARK HLDGS INC	11,400	$416K	shares
FIRST NIAGARA FINANCIAL GRO…FIRST NIAGARA FINANCIAL GROUP	42,609	$415K	shares
SMHVANECK ETF TRUST	6,969	$397K	shares
CECELANESE CORP DEL	5,592	$366K	shares
QUESTAR CORPQUESTAR CORP	14,359	$364K	shares
VNMVANECK ETF TRUST	24,340	$356K	shares
COHERENT INCCOHERENT INC	3,691	$339K	shares
MMDNYLIM MACKAY DEFINEDTERM MUN	15,500	$321K	shares
BABSON CAPITAL CORPORATE INVBABSON CAPITAL CORPORATE INV	17,558	$316K	shares
MRCYMERCURY SYS INC	12,435	$309K	shares
ISHARES TRISHARES TR	11,659	$309K	shares
SRPTSAREPTA THERAPEUTICS INC	15,828	$302K	shares
LULULULULEMON ATHLETICA INC	3,954	$292K	shares
TARO PHARMACEUTICAL INDS LTDTARO PHARMACEUTICAL INDS LTD	1,984	$289K	shares
OCOWENS CORNING NEW	5,358	$276K	shares
SOVRAN SELF STORAGE INCSOVRAN SELF STORAGE INC	2,596	$272K	shares
URIUNITED RENTALS INC	4,027	$270K	shares
LIILENNOX INTL INC	1,879	$268K	shares
MSEXMIDDLESEX WTR CO	6,086	$264K	shares
SHENSHENANDOAH TELECOMMUNICATION	6,650	$260K	shares
NUVEEN MUN MKT OPPORTUNITYNUVEEN MUN MKT OPPORTUNITY	17,072	$257K	shares
STATE STREET SPDR PORTFOLIO…STATE STREET SPDR PORTFOLIO INTER…	10,330	$254K	shares
SOLARCITY CORPSOLARCITY CORP	10,227	$245K	shares
LIBERTY PROPERTY TRUSTLIBERTY PROPERTY TRUST	6,107	$243K	shares
BABSON CAPITAL PARTICIPATIONBABSON CAPITAL PARTICIPATION	16,360	$241K	shares
DIAMOND OFFSHORE DRILLING INDIAMOND OFFSHORE DRILLING IN	9,864	$240K	shares
CORESITE RLTY CORPCORESITE RLTY CORP	2,636	$234K	shares
RRCRANGE RES CORP	5,398	$233K	shares
DELHAIZE GROUP - SPONS ADRDELHAIZE GROUP - SPONS ADR	8,877	$233K	shares
THCTENET HEALTHCARE CORP	8,392	$232K	shares
CAJPYCANON INC ADS (1 SH COM)	8,118	$232K	shares
VIRGIN AMER INCVIRGIN AMER INC	4,108	$231K	shares
GEOGEO GROUP INC	6,730	$230K	shares
BLACKROCK MUNI INC TR IIBLACKROCK MUNI INC TR II	13,781	$228K	shares
BROOKFIELD PROPERTY PARTRS LBROOKFIELD PROPERTY PARTRS L	10,111	$227K	shares
ISHARES TRISHARES TR	9,948	$226K	shares
HOWARD HUGHES CORPORATIONHOWARD HUGHES CORPORATION	1,891	$216K	shares
INKMSSGA ACTIVE ETF TR	6,892	$215K	shares
EOTEATON VANCE NATL MUN OPPORT	9,140	$211K	shares
CLAYMORE GUGGENHEIMCLAYMORE GUGGENHEIM	9,973	$209K	shares
IHDGWISDOMTREE TR	8,114	$208K	shares
AVAVAEROVIRONMENT INC	7,424	$206K	shares
CORE-MARK HOLDING CO INCCORE-MARK HOLDING CO INC	4,377	$205K	shares
PHMPULTE GROUP INC	10,448	$204K	shares
RJFRAYMOND JAMES FINL INC	4,130	$204K	shares
FYTFIRST TR EXCHANGE-TRADED ALP	7,191	$204K	shares
COVANTA HLDG CORPCOVANTA HLDG CORP	12,365	$203K	shares
AMERICAN CAPITAL LTDAMERICAN CAPITAL LTD	12,839	$203K	shares
DJPBARCLAYS BANK PLC	8,076	$200K	shares
HOSHORNBECK OFFSHORE SERVICES I	29,353	$198K	shares
NUVEEN INVT QUALITY MUN FD INUVEEN INVT QUALITY MUN FD I	11,482	$192K	shares
MXFMEXICO FD INC	11,034	$185K	shares
NRGNRG ENERGY INC	12,251	$184K	shares
ORITANI FINANCIAL CORPORITANI FINANCIAL CORP	11,001	$176K	shares
FHNFIRST HORIZON CORPORATION	10,781	$149K	shares
ABERDEEN EMERGING MKTS SMALLABERDEEN EMERGING MKTS SMALL	10,501	$127K	shares
MDXGMIMEDX GROUP INC	14,623	$117K	shares
EMERGE ENERGY SVCS LPEMERGE ENERGY SVCS LP	10,025	$116K	shares
GSV CAPITAL CORPGSV CAPITAL CORP	22,815	$115K	shares
BRISTOW GROUP INCBRISTOW GROUP INC	10,016	$114K	shares
GLOCLOUGH GLOBAL OPPORTUNITIES	11,674	$109K	shares
MUFGMITSUBISHI UFJ FINANCIAL GRO	24,186	$107K	shares
WESTERN ASSET MGD HI INCM FDWESTERN ASSET MGD HI INCM FD	21,897	$103K	shares
PROSHARES TR II ULT VIX SHRTPROSHARES TR II ULT VIX SHRT	10,801	$102K	shares

How Q3 2016 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001333978-16-000018	base		2016-10-25	acceptance time not in the bulk data set	2026-10-07 19:11:14 UTC