Stephens Inc
- SEC CIK
- 0000757657
- Latest filing
- Jul 29, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Oct 27, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 1,353
- +12 vs. Q2 2021
- Portfolio value
- $6.46B
- −$213.4M (−3.2%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| MGYMagnolia Oil & Gas Corp | CL A | 75 | $1.00K | <0.1% | +75 | New | History |
| ECPGEncore Capital Group Inc | COM | 52 | $3.00K | <0.1% | +4+8.3% | Added | History |
| COUPCoupa Software Inc | COM | 25 | $5.00K | <0.1% | +11+78.6% | Added | History |
| GTMZoomInfo Technologies Inc. | Stock | 96 | $6.00K | <0.1% | +96 | New | History |
| AVAVAeroVironment Inc | COM | 65 | $6.00K | <0.1% | −35−35.0% | Reduced | History |
| RYANRyan Specialty Holdings, Inc. | CL A | 197 | $7.00K | <0.1% | +197 | New | History |
| PIPRPiper Sandler Companies | COM | 50 | $7.00K | <0.1% | +50 | New | History |
| MGPIMGP Ingredients Inc | COM | 145 | $9.00K | <0.1% | 00.0% | Unchanged | History |
| RLRalph Lauren Corp | CL A | 90 | $10.0K | <0.1% | 00.0% | Unchanged | History |
| VNOMViper Energy, Inc. | COM UNT RP INT | 500 | $11.0K | <0.1% | 00.0% | Unchanged | History |
| PZZAPapa Johns International Inc | Stock | 94 | $12.0K | <0.1% | −106−53.0% | Reduced | History |
| Pacira BioSciences, Inc.695127AD2 | NOTE 2.375% 4/0 | 13,000 | $13.0K | <0.1% | 00.0% | Unchanged | – |
| Marriott Vactins Worldwid Co57164YAB3 | NOTE 1.500% 9/1 | 13,000 | $15.0K | <0.1% | 00.0% | Unchanged | – |
| CHRWC. H. Robinson Worldwide, Inc. | COM NEW | 179 | $16.0K | <0.1% | +2+1.1% | Added | History |
| Everbridge, Inc.29978AAC8 | NOTE 0.125%12/1 | 11,000 | $16.0K | <0.1% | 00.0% | Unchanged | – |
| Viavi Solutions Inc.925550AB1 | NOTE 1.000% 3/0 | 12,000 | $16.0K | <0.1% | 00.0% | Unchanged | – |
| Zynga Inc98986TAB4 | NOTE 0.250% 6/0 | 14,000 | $16.0K | <0.1% | 00.0% | Unchanged | – |
| Spirit Airls Inc848577AB8 | NOTE 1.000% 5/1 | 18,000 | $17.0K | <0.1% | +18,000 | New | – |
| NINENine Energy Service, Inc. | COM | 10,000 | $18.0K | <0.1% | 00.0% | Unchanged | History |
| SHIPSeanergy Maritime Holdings Corp. | SHS NEW | 12,500 | $18.0K | <0.1% | 00.0% | Unchanged | History |
| TWTradeweb Markets Inc. | Stock | 235 | $19.0K | <0.1% | 00.0% | Unchanged | History |
| SDGRSchrodinger, Inc. | COM | 375 | $21.0K | <0.1% | 00.0% | Unchanged | History |
| Atlas Air Worldwide Hldgs IN049164BH8 | NOTE 2.250% 6/0 | 18,000 | $21.0K | <0.1% | 00.0% | Unchanged | – |
| AZEKAZEK Co Inc. | CL A | 584 | $21.0K | <0.1% | +477+445.8% | Added | History |
| Akamai Technologies Inc00971TAJ0 | NOTE 0.125% 5/0 | 18,000 | $22.0K | <0.1% | 00.0% | Unchanged | – |
| Splunk Inc848637AD6 | NOTE 1.125% 9/1 | 18,000 | $22.0K | <0.1% | 00.0% | Unchanged | – |
| RBCRBC Bearings INC | COM | 109 | $23.0K | <0.1% | +109 | New | History |
| Neurocrine Biosciences Inc64125CAD1 | NOTE 2.250% 5/1 | 18,000 | $24.0K | <0.1% | 00.0% | Unchanged | – |
| Liberty Media Corp Del531229AB8 | NOTE 1.375%10/1 | 18,000 | $25.0K | <0.1% | 00.0% | Unchanged | – |
| EDUNew Oriental Education & Technology Group Inc. | SPON ADR | 12,000 | $25.0K | <0.1% | +12,000 | New | History |
| Patrick Inds Inc703343AB9 | DBCV 1.000% 2/0 | 24,000 | $27.0K | <0.1% | 00.0% | Unchanged | – |
| Exact Sciences Corp30063PAC9 | NOTE 0.375% 3/0 | 26,000 | $28.0K | <0.1% | 00.0% | Unchanged | – |
| TNDMTandem Diabetes Care Inc | COM NEW | 241 | $29.0K | <0.1% | +174+259.7% | Added | History |
| WIXWix.com Ltd. | SHS | 150 | $29.0K | <0.1% | +100+200.0% | Added | History |
| RingCentral, Inc.76680RAF4 | NOTE 3/0 | 29,000 | $29.0K | <0.1% | 00.0% | Unchanged | – |
| Helix Energy Solutions Grp I42330PAK3 | NOTE 6.750% 2/1 | 30,000 | $31.0K | <0.1% | 00.0% | Unchanged | – |
| Workday, Inc.98138HAF8 | NOTE 0.250%10/0 | 18,000 | $31.0K | <0.1% | 00.0% | Unchanged | – |
| Teladoc Health, Inc.87918AAF2 | NOTE 1.250% 6/0 | 32,000 | $32.0K | <0.1% | 00.0% | Unchanged | – |
| Nuvasive Inc670704AJ4 | NOTE 0.375% 3/1 | 33,000 | $32.0K | <0.1% | 00.0% | Unchanged | – |
| Burlington Stores, Inc.122017AB2 | NOTE 2.250% 4/1 | 22,000 | $32.0K | <0.1% | 00.0% | Unchanged | – |
| PTCPTC Inc. | Stock | 274 | $33.0K | <0.1% | +150+121.0% | Added | History |
| NRG Energy, Inc.629377CG5 | DBCV 2.750% 6/0 | 28,000 | $33.0K | <0.1% | +10,000+55.6% | Added | – |
| Integra Lifesciences Hldgs C457985AM1 | NOTE 0.500% 8/1 | 31,000 | $34.0K | <0.1% | 00.0% | Unchanged | – |
| Southwest Airls Co844741BG2 | NOTE 1.250% 5/0 | 23,000 | $34.0K | <0.1% | 00.0% | Unchanged | – |
| Pebblebrook Hotel Tr70509VAA8 | NOTE 1.750%12/1 | 31,000 | $35.0K | <0.1% | 00.0% | Unchanged | – |
| Envestnet, Inc.29404KAB2 | NOTE 1.750% 6/0 | 28,000 | $35.0K | <0.1% | +28,000 | New | – |
| EQT Corp26884LAK5 | NOTE 1.750% 5/0 | 22,000 | $35.0K | <0.1% | 00.0% | Unchanged | – |
| BDSIBiodelivery Sciences International Inc | COM | 10,000 | $36.0K | <0.1% | 00.0% | Unchanged | History |
| Snap Inc83304AAB2 | NOTE 0.750% 8/0 | 11,000 | $36.0K | <0.1% | +11,000 | New | – |
| Cheesecake Factory Inc163072AA9 | NOTE 0.375% 6/1 | 38,000 | $36.0K | <0.1% | +38,000 | New | – |
| Square Inc852234AD5 | NOTE 0.500% 5/1 | 12,000 | $37.0K | <0.1% | 00.0% | Unchanged | – |
| Dexcom Inc252131AK3 | NOTE 0.250%11/1 | 31,000 | $37.0K | <0.1% | +31,000 | New | – |
| Royal Caribbean Group780153BB7 | NOTE 4.250% 6/1 | 26,000 | $37.0K | <0.1% | +26,000 | New | – |
| HUBGHub Group, Inc. | CL A | 570 | $39.0K | <0.1% | 00.0% | Unchanged | History |
| CONMED Corp207410AF8 | NOTE 2.625% 2/0 | 26,000 | $40.0K | <0.1% | 00.0% | Unchanged | – |
| Etsy Inc29786AAJ5 | NOTE 0.125%10/0 | 18,000 | $44.0K | <0.1% | 00.0% | Unchanged | – |
| Biomarin Pharmaceutical Inc09061GAH4 | NOTE 0.599% 8/0 | 43,000 | $44.0K | <0.1% | 00.0% | Unchanged | – |
| Lumentum Hldgs Inc55024UAB5 | NOTE 0.250% 3/1 | 30,000 | $44.0K | <0.1% | 00.0% | Unchanged | – |
| TCRTAlaunos Therapeutics, Inc. | COM | 25,162 | $46.0K | <0.1% | +5,000+24.8% | Added | History |
| Alight, Inc. / Delaware01626W119 | Warrant / Rights | 15,000 | $46.0K | <0.1% | +15,000 | New | – |
| IAGIamgold Corp | COM | 22,000 | $50.0K | <0.1% | 00.0% | Unchanged | History |
| AVOMission Produce, Inc. | COM | 2,800 | $51.0K | <0.1% | 00.0% | Unchanged | History |
| DISH Network CORP25470MAB5 | NOTE 3.375% 8/1 | 50,000 | $52.0K | <0.1% | +26,000+108.3% | Added | – |
| NICE Ltd.653656AB4 | NOTE 9/1 | 45,000 | $53.0K | <0.1% | +45,000 | New | – |
| AZTAAzenta, Inc. | COM | 552 | $56.0K | <0.1% | +10+1.8% | Added | History |
| BRWSaba Capital Income & Opportunities Fund | SHARES | 12,316 | $56.0K | <0.1% | −1,930−13.5% | Reduced | History |
| Pioneer Nat Res Co723787AP2 | NOTE 0.250% 5/1 | 36,000 | $58.0K | <0.1% | +14,000+63.6% | Added | – |
| ONTOnterris, Inc. | COM | 958 | $59.0K | <0.1% | −257−21.2% | Reduced | History |
| NOKNokia Corp | SPONSORED ADR | 12,579 | $69.0K | <0.1% | −1,150−8.4% | Reduced | History |
| GYREGyre Therapeutics, Inc. | COM NEW | 16,835 | $69.0K | <0.1% | −50−0.3% | Reduced | History |
| MRCYMercury Systems Inc | COM | 1,521 | $72.0K | <0.1% | +4+0.3% | Added | History |
| Farfetch Ltd30744W107 | ORD SH CL A | 1,958 | $73.0K | <0.1% | +232+13.4% | Added | – |
| SWNSouthwestern Energy Co | COM | 13,262 | $73.0K | <0.1% | −395,067−96.8% | Reduced | History |
| MEDPMedpace Holdings, Inc. | COM | 408 | $77.0K | <0.1% | +408 | New | History |
| VRNSVaronis Systems Inc | COM | 1,301 | $79.0K | <0.1% | 00.0% | Unchanged | History |
| PSECProspect Capital Corp | COM | 10,939 | $84.0K | <0.1% | +10,939 | New | History |
| ONTOOnto Innovation Inc. | COM | 1,202 | $87.0K | <0.1% | +62+5.4% | Added | History |
| VVRInvesco Senior Income Trust | COM | 19,780 | $88.0K | <0.1% | 00.0% | Unchanged | History |
| LMNRLimoneira CO | COM | 5,528 | $89.0K | <0.1% | −152−2.7% | Reduced | History |
| FOXFFox Factory Holding Corp | COM | 613 | $89.0K | <0.1% | +314+105.0% | Added | History |
| OCSLOaktree Specialty Lending Corp | COM | 13,190 | $93.0K | <0.1% | 00.0% | Unchanged | History |
| PCGPG&E Corp | Stock | 10,030 | $96.0K | <0.1% | 00.0% | Unchanged | History |
| KLACKLA Corp | COM NEW | 288 | $96.0K | <0.1% | −334−53.7% | Reduced | History |
| PGENPrecigen, Inc. | COM | 19,414 | $97.0K | <0.1% | 00.0% | Unchanged | History |
| ICMBInvestcorp Credit Management BDC, Inc. | COM | 17,799 | $97.0K | <0.1% | 00.0% | Unchanged | History |
| SLABSilicon Laboratories Inc. | Stock | 702 | $98.0K | <0.1% | −31−4.2% | Reduced | History |
| HALOHalozyme Therapeutics, Inc. | COM | 2,530 | $103.0K | <0.1% | 00.0% | Unchanged | History |
| Cyberark Software LtdM2682V108 | SHS | 680 | $107.0K | <0.1% | 00.0% | Unchanged | – |
| SYNHSyneos Health, Inc. | CL A | 1,242 | $109.0K | <0.1% | +1,242 | New | History |
| AIVApartment Investment & Management Co | CL A | 16,414 | $112.0K | <0.1% | +16,414 | New | History |
| ETWEaton Vance Tax-Managed Global Buy-Write Opportunities Fund | COM | 10,533 | $114.0K | <0.1% | 00.0% | Unchanged | History |
| CHGGChegg, Inc | COM | 1,699 | $116.0K | <0.1% | +212+14.3% | Added | History |
| GELGenesis Energy LP | UNIT LTD PARTN | 12,082 | $120.0K | <0.1% | −662−5.2% | Reduced | History |
| PBPBPotbelly Corp | COM | 17,723 | $120.0K | <0.1% | 00.0% | Unchanged | History |
| Altimeter Growth CorpG0370L124 | UNIT 99/99/9999 | 11,350 | $121.0K | <0.1% | −6,550−36.6% | Reduced | – |
| GABGabelli Equity Trust Inc | COM | 18,371 | $122.0K | <0.1% | 00.0% | Unchanged | History |
| IMGNImmunoGen, Inc. | COM | 22,151 | $126.0K | <0.1% | −1,820−7.6% | Reduced | History |
| NUVANuvasive Inc | COM | 2,115 | $127.0K | <0.1% | +311+17.2% | Added | History |
| DBXDropbox, Inc. | CL A | 4,471 | $131.0K | <0.1% | −500−10.1% | Reduced | History |
| BCXBlackRock Resources & Commodities Strategy Trust | SHS | 14,917 | $133.0K | <0.1% | +2,500+20.1% | Added | History |
Sold out since Q2 2021 (76)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| First Tr Exchange-Traded FD33734X127 | ENERGY ALPHADX | 326,331 | $3.72M | 0.1% | – |
| State Street SPDR S&P Aerospace & Defense ETF78464A631 | ETF | 26,946 | $3.56M | 0.1% | – |
| Invesco Actvely MNGD Etc FD46090F100 | OPTIMUM YIELD | 173,933 | $3.49M | 0.1% | – |
| SPDR Series Trust78464A755 | ST STR SP METAL | 75,519 | $3.25M | <0.1% | – |
| ARAntero Resources Corp | COM | 177,804 | $2.67M | <0.1% | History |
| OCFCOceanfirst Financial Corp | COM | 111,228 | $2.32M | <0.1% | History |
| AXTAAxalta Coating Systems Ltd. | COM | 64,873 | $1.98M | <0.1% | History |
| ERIIEnergy Recovery, Inc. | COM | 73,426 | $1.67M | <0.1% | History |
| VRTVertiv Holdings Co | COM CL A | 57,686 | $1.57M | <0.1% | History |
| GGNGAMCO Global Gold, Natural Resources & Income Trust | COM SH BEN INT | 376,084 | $1.50M | <0.1% | History |
| PDDPDD Holdings Inc. | SPONSORED ADS | 11,009 | $1.40M | <0.1% | History |
| SBLKStar Bulk Carriers Corp. | SHS PAR | 60,663 | $1.39M | <0.1% | History |
| THQabrdn Healthcare Opportunities Fund | SHS | 57,447 | $1.33M | <0.1% | History |
| CVACovanta Holding Corp | COM | 65,887 | $1.16M | <0.1% | History |
| CUZCousins Properties Inc | COM NEW | 23,270 | $856.0K | <0.1% | History |
| AVIDAvid Technology, Inc. | COM | 19,659 | $770.0K | <0.1% | History |
| CHYCalamos Convertible & High Income Fund | COM SHS | 45,852 | $748.0K | <0.1% | History |
| KLICKulicke & Soffa Industries Inc | COM | 10,358 | $634.0K | <0.1% | History |
| Capitala Fin Corp14054R502 | COM NEW | 22,513 | $553.0K | <0.1% | – |
| HBIOHarvard Bioscience Inc | COM | 65,870 | $549.0K | <0.1% | History |
| WRIWeingarten Realty Investors | SH BEN INT | 16,050 | $515.0K | <0.1% | History |
| AFRMAffirm Holdings, Inc. | COM CL A | 7,088 | $477.0K | <0.1% | History |
| iShares Tr464287192 | US TRSPRTION | 1,611 | $419.0K | <0.1% | – |
| CCKCrown Holdings, Inc. | COM | 4,086 | $418.0K | <0.1% | History |
| ITRIItron, Inc. | COM | 3,700 | $370.0K | <0.1% | History |
| ALXNAlexion Pharmaceuticals, Inc. | COM | 1,945 | $357.0K | <0.1% | History |
| DBPInvesco DB Precious Metals Fund | PRECIOUS METAL | 6,670 | $328.0K | <0.1% | History |
| LVSLas Vegas Sands Corp | COM | 6,137 | $323.0K | <0.1% | History |
| RVTYRevvity, Inc. | COM | 2,070 | $320.0K | <0.1% | History |
| SIGSignet Jewelers Ltd | SHS | 3,961 | $320.0K | <0.1% | History |
| iShares Tr464288174 | GL TIMB FORE ETF | 3,560 | $309.0K | <0.1% | – |
| BYNDBeyond Meat, Inc. | COM | 1,649 | $260.0K | <0.1% | History |
| STLSterling Bancorp | COM | 10,267 | $255.0K | <0.1% | History |
| CVETCovetrus, Inc. | COM | 9,390 | $254.0K | <0.1% | History |
| PDCEPDC Energy, Inc. | COM | 5,514 | $252.0K | <0.1% | History |
| TRTNTriton International Ltd | CL A | 4,683 | $245.0K | <0.1% | History |
| ZTRVirtus Total Return Fund Inc. | COM | 24,939 | $242.0K | <0.1% | History |
| Foley Trasimene Acquistn Cor34431F112 | *W EXP 05/26/202 | 115,000 | $239.0K | <0.1% | – |
| LWLamb Weston Holdings, Inc. | Stock | 2,835 | $229.0K | <0.1% | History |
| NVTAInvitae Corp | COM | 6,711 | $226.0K | <0.1% | History |
| EATBrinker International, Inc | Stock | 3,553 | $220.0K | <0.1% | History |
| Global X FDS37950E416 | SOCIAL MED ETF | 3,030 | $219.0K | <0.1% | – |
| FTVFortive Corp | Stock | 3,121 | $218.0K | <0.1% | History |
| BERYBerry Global Group, Inc. | COM | 3,318 | $216.0K | <0.1% | History |
| PFPTProofpoint Inc | COM | 1,233 | $214.0K | <0.1% | History |
| ZMZoom Communications, Inc. | Stock | 547 | $212.0K | <0.1% | History |
| TDToronto Dominion Bank | Stock | 3,008 | $211.0K | <0.1% | History |
| CVGWCalavo Growers Inc | COM | 3,332 | $211.0K | <0.1% | History |
| NTNXNutanix, Inc. | Stock | 5,454 | $208.0K | <0.1% | History |
| NTLAIntellia Therapeutics, Inc. | COM | 1,286 | $208.0K | <0.1% | History |
| MFCManulife Financial Corp | COM | 10,417 | $205.0K | <0.1% | History |
| CDWCDW Corp | COM | 1,170 | $204.0K | <0.1% | History |
| HALHalliburton Co | Stock | 8,735 | $202.0K | <0.1% | History |
| ADUSAddus HomeCare Corp | COM | 2,300 | $201.0K | <0.1% | History |
| Just Eat Takeaway Com N V48214T305 | SPONSORED ADS | 10,422 | $190.0K | <0.1% | – |
| EFREaton Vance Senior Floating-Rate Trust | COM | 13,308 | $188.0K | <0.1% | History |
| RQICohen & Steers Quality Income Realty Fund Inc | CEF | 10,818 | $170.0K | <0.1% | History |
| NFJVirtus Dividend, Interest & Premium Strategy Fund | COM | 11,192 | $169.0K | <0.1% | History |
| Paysafe LtdG6964L115 | *W EXP 08/11/202 | 45,831 | $164.0K | <0.1% | – |
| EFTEaton Vance Floating-Rate Income Trust | COM | 10,000 | $144.0K | <0.1% | History |
| VMEOVimeo, Inc. | COMMON STOCK | 2,758 | $135.0K | <0.1% | History |
| Echo Global Logistics, Inc.27875T101 | COM | 3,903 | $120.0K | <0.1% | – |
| CHUYChuy's Holdings, Inc. | COM | 2,500 | $93.0K | <0.1% | History |
| Microchip Technology Inc595017AD6 | NOTE 1.625% 2/1 | 22,000 | $73.0K | <0.1% | – |
| Wellpoint Inc94973VBG1 | NOTE 2.750%10/1 | 12,000 | $65.0K | <0.1% | – |
| AEGAegon Ltd. | NY REGISTRY SHS | 13,760 | $57.0K | <0.1% | History |
| Nice Sys Inc65366HAB9 | NOTE 1.250% 1/1 | 18,000 | $53.0K | <0.1% | – |
| Apellis Pharmaceuticals, Inc.03753UAB2 | NOTE 3.500% 9/1 | 23,000 | $42.0K | <0.1% | – |
| Portman Ridge Fin Corp73688F102 | COM | 17,535 | $42.0K | <0.1% | – |
| Dexcom Inc252131AH0 | NOTE 0.750%12/0 | 13,000 | $34.0K | <0.1% | – |
| FIVNFive9, Inc. | COM | 142 | $26.0K | <0.1% | History |
| Isis Pharmaceuticals Inc Del464337AJ3 | NOTE 1.000%11/1 | 13,000 | $13.0K | <0.1% | – |
| PRAHPRA Health Sciences, Inc. | COM | 79 | $13.0K | <0.1% | History |
| TKNOAlpha Teknova, Inc. | COM | 500 | $12.0K | <0.1% | History |
| PPDPPD, Inc. | COM | 146 | $7.00K | <0.1% | History |
| Gabelli Equity Tr Inc362397218 | RIGHT 07/14/2021 | 18,390 | $2.00K | <0.1% | – |