Commonwealth Equity Services, LLC Closed Holding Positions

Commonwealth Equity Services, LLC

$77.2 Billion
Q3 2025

Stock	Closed Quarter	Shares Sold	Price Range	Trade History
EPIX Essa Pharma Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	29,195	$7.76 - $29.37 $227K - $857K
Portman Ridge Fin Corp	Q3 2021 Filed on Oct 29, 2021	106,348	N/A
RFIL R F Industries LTD Industrials	Q3 2021 Filed on Oct 29, 2021	15,016	$7.39 - $9.6 $111K - $144K
AWH Aspira Women'S Health Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	28,000	$3.19 - $5.48 $89.3K - $153K
GMF Spdr Index Shs Fund Spdr S&P E ETFs	Q3 2021 Filed on Oct 29, 2021	1,661	$120.47 - $133.6 $200K - $222K
CWBR Coh Bar, Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	13,579	$0.96 - $1.62 $13K - $22K

RLAY Relay Therapeutics, Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	8,448	$29.75 - $37.99 $251K - $321K
AENZ Aenza S.A.A. Industrials	Q3 2021 Filed on Oct 29, 2021	10,189	$1.24 - $1.94 $12.6K - $19.8K
Ashford Hospitality Tr Inc	Q3 2021 Filed on Oct 29, 2021	380,991	N/A
DRSK ETF Ser Solutions Aptus Define ETFs	Q3 2021 Filed on Oct 29, 2021	103,557	$28.63 - $30.06 $2.96M - $3.11M
FTCH Farfetch LTD Consumer Cyclical	Q3 2021 Filed on Oct 29, 2021	4,249	$36.9 - $50.66 $157K - $215K
FCA First Trust China Alphadex Fun ETFs	Q3 2021 Filed on Oct 29, 2021	23,105	$28.65 - $33.61 $662K - $777K
FUTU Futu Holdings LTD Financial Services	Q3 2021 Filed on Oct 29, 2021	3,551	$86.3 - $162.2 $306K - $576K
FROG J Frog LTD Technology	Q3 2021 Filed on Oct 29, 2021	6,532	$33.48 - $47.46 $219K - $310K
LPL Lg Display Co., Ltd. Technology	Q3 2021 Filed on Oct 29, 2021	28,357	$7.95 - $10.92 $225K - $310K
LHCG Lhc Group, Inc Healthcare	Q3 2021 Filed on Oct 29, 2021	1,109	$156.91 - $215.29 $174K - $239K
LOOP Loop Industries, Inc. Basic Materials	Q3 2021 Filed on Oct 29, 2021	45,142	$8.95 - $12.78 $404K - $577K
MAG Mag Silver Corp Basic Materials	Q3 2021 Filed on Oct 29, 2021	9,607	$15.58 - $21.59 $150K - $207K

Starboard Value Acquisitn CO	Q3 2021 Filed on Oct 29, 2021	93,460	N/A
Trillium Therapeutics Inc	Q3 2021 Filed on Oct 29, 2021	55,508	N/A
VERU Veru Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	15,292	$6.78 - $9.89 $104K - $151K
Atlas Crest Invt Corp	Q3 2021 Filed on Oct 29, 2021	15,840	N/A
BW Babcock & Wilcox Enterprises, Inc. Industrials	Q3 2021 Filed on Oct 29, 2021	152,235	$6.01 - $7.92 $915K - $1.21M
CEVA Ceva Inc Technology	Q3 2021 Filed on Oct 29, 2021	6,596	$41.97 - $50.78 $277K - $335K
Churchill Capital Corp Iv	Q3 2021 Filed on Oct 29, 2021	94,543	N/A
CMPR Cimpress PLC Communication Services	Q3 2021 Filed on Oct 29, 2021	2,273	$83.43 - $120.33 $190K - $274K
Cm Life Sciences Ii Inc	Q3 2021 Filed on Oct 29, 2021	20,000	N/A
EVRI Everi Holdings Inc. Consumer Cyclical	Q3 2021 Filed on Oct 29, 2021	25,491	$21.01 - $25.73 $536K - $656K
Hc2 Hldgs Inc	Q3 2021 Filed on Oct 29, 2021	140,583	N/A
IMAX Imax Corp Communication Services	Q3 2021 Filed on Oct 29, 2021	23,731	$13.67 - $21.8 $324K - $517K
Listed Fd Tr	Q3 2021 Filed on Oct 29, 2021	6,407	N/A
Navsight Hldgs Inc	Q3 2021 Filed on Oct 29, 2021	10,500	N/A
Renaissance Cap Greenwich Fd	Q3 2021 Filed on Oct 29, 2021	12,318	N/A
Rodgers Silicon Valley Aq CO	Q3 2021 Filed on Oct 29, 2021	11,543	N/A
Score Media & Gaming Inc	Q3 2021 Filed on Oct 29, 2021	10,010	N/A

Soc Telemed Inc	Q3 2021 Filed on Oct 29, 2021	15,580	N/A
IPOF Social Capital Hedosophia Holdings Corp. Vi Financial Services	Q3 2021 Filed on Oct 29, 2021	15,650	$9.8 - $10.44 $153K - $163K
SUNW Sunworks, Inc. Technology	Q3 2021 Filed on Oct 29, 2021	21,280	$5.85 - $10.28 $124K - $219K
TME Tencent Music Entertainment Group Communication Services	Q3 2021 Filed on Oct 29, 2021	16,973	$7.01 - $15.47 $119K - $263K
Acasti Pharma Inc	Q3 2021 Filed on Oct 29, 2021	15,700	N/A
ANVS Annovis Bio, Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	3,964	$30.95 - $120.97 $123K - $480K
Aspirational Consumer Lifest	Q3 2021 Filed on Oct 29, 2021	13,050	N/A
AVID Avid Technology, Inc. Technology	Q3 2021 Filed on Oct 29, 2021	8,495	$24.77 - $39.89 $210K - $339K
Blackrock Science & Technolo	Q3 2021 Filed on Oct 29, 2021	19,626	N/A
CAL Caleres Inc Consumer Cyclical	Q3 2021 Filed on Oct 29, 2021	29,983	$21.72 - $28.0 $651K - $840K
CTRN Citi Trends Inc Consumer Cyclical	Q3 2021 Filed on Oct 29, 2021	12,713	$69.63 - $91.33 $885K - $1.16M
COWN Cowen Inc. Financial Services	Q3 2021 Filed on Oct 29, 2021	16,037	$32.05 - $41.97 $514K - $673K
CBAY Cyma Bay Therapeutics, Inc. Healthcare	Q3 2021 Filed on Oct 29, 2021	113,394	$3.47 - $4.42 $393K - $501K
Dominion Energy Inc	Q3 2021 Filed on Oct 29, 2021	3,737	N/A
EBIX Ebix Inc Technology	Q3 2021 Filed on Oct 29, 2021	6,400	$26.7 - $33.47 $171K - $214K

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