Skip to main content
Livermore
Livermore
ZHEN

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.

Institution overview
Positions
1,353
+12 vs. Q2 2021
Portfolio value
$6.46B
−$213.4M (−3.2%) vs. Q2 2021
Filed
Oct 27, 2021
SEC
Holdings of Stephens Inc in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
SHOSunstone Hotel Investors, Inc.COM11,290$135.0K<0.1%+125+1.1%AddedHistory
SICPSilvergate Capital CorpCL A1,167$135.0K<0.1%+88+8.2%AddedHistory
CGENCompugen LtdORD23,000$137.0K<0.1%00.0%UnchangedHistory
VISNVistance Networks, Inc.COM10,184$138.0K<0.1%+10,184NewHistory
PROPROS Holdings, Inc.COM4,155$147.0K<0.1%+1,047+33.7%AddedHistory
BCPCBalchem CorpCOM1,034$150.0K<0.1%−33−3.1%ReducedHistory
LESLLeslie's, Inc.COM7,331$151.0K<0.1%+535+7.9%AddedHistory
STEWSRH Total Return Fund, Inc.COM11,583$152.0K<0.1%00.0%UnchangedHistory
SHLXShell Midstream Partners, L.P.UNIT LTD INT13,142$155.0K<0.1%−962−6.8%ReducedHistory
HSICHenry Schein IncCOM2,107$160.0K<0.1%−64−2.9%ReducedHistory
SIRISirius XM Holdings Inc.COM26,491$162.0K<0.1%+120.0%AddedHistory
EXELExelixis, Inc.COM7,748$164.0K<0.1%+2,489+47.3%AddedHistory
Nuveen Corporate Incm Noveme67077N106COM17,500$164.0K<0.1%00.0%Unchanged–
BCSBarclays PLCADR16,091$166.0K<0.1%−656−3.9%ReducedHistory
Vonage Holdings Corp92886T201COM10,315$166.0K<0.1%−46,868−82.0%Reduced–
WSRWhitestone REITCOM17,037$167.0K<0.1%00.0%UnchangedHistory
OLLIOllie's Bargain Outlet Holdings, Inc.Stock2,826$170.0K<0.1%−199−6.6%ReducedHistory
PAGPPlains GP Holdings LPLTD PARTNR INT A15,798$170.0K<0.1%−1,393−8.1%ReducedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST11,832$170.0K<0.1%00.0%Unchanged–
PRAAPra Group IncCOM4,067$171.0K<0.1%+325+8.7%AddedHistory
HYIWestern Asset High Yield Opportunity Fund Inc.COM11,330$180.0K<0.1%00.0%UnchangedHistory
HQYHealthequity, Inc.COM2,856$185.0K<0.1%+656+29.8%AddedHistory
SCMStellus Capital Investment CorpCOM14,275$186.0K<0.1%00.0%UnchangedHistory
FHNFirst Horizon CorpCOM11,482$187.0K<0.1%+424+3.8%AddedHistory
BCSFBain Capital Specialty Finance, Inc.COM STK12,703$189.0K<0.1%+1,800+16.5%AddedHistory
Starz Entertainment Corp535919500CL B NON VTG14,608$190.0K<0.1%−3,003−17.1%Reduced–
NICENICE Ltd.SPONSORED ADR680$193.0K<0.1%+680NewHistory
NATINational Instruments CorpCOM4,967$195.0K<0.1%−112−2.2%ReducedHistory
UBSUBS Group AGStock12,420$198.0K<0.1%−190−1.5%ReducedHistory
EVVEaton Vance Ltd Duration Income FundCOM15,015$198.0K<0.1%−5,180−25.6%ReducedHistory
NLYAnnaly Capital Management IncCOM23,532$198.0K<0.1%+65+0.3%AddedHistory
ZEVLightning eMotors, Inc.COM23,331$199.0K<0.1%+23,331NewHistory
USALiberty All Star Equity FundSH BEN INT23,302$200.0K<0.1%+8,454+56.9%AddedHistory
BGTBlackRock Floating Rate Income TrustCOM15,095$200.0K<0.1%−3,195−17.5%ReducedHistory
WWDWoodward, Inc.COM1,772$201.0K<0.1%00.0%UnchangedHistory
MPWRMonolithic Power Systems, Inc.COM414$201.0K<0.1%+414NewHistory
PSXPPhillips 66 Partners LPCOM UNIT REP INT5,610$201.0K<0.1%−543−8.8%ReducedHistory
SSBSouthState Bank CorpCOM2,697$201.0K<0.1%+202+8.1%AddedHistory
AUBAtlantic Union Bankshares CorpCOM5,486$202.0K<0.1%+5,486NewHistory
CNPCenterpoint Energy IncCOM8,229$202.0K<0.1%+20.0%AddedHistory
BRKRBruker CorpCOM2,584$202.0K<0.1%+2,584NewHistory
iShares Tr464288844US OIL EQ&SV ETF14,746$202.0K<0.1%−70−0.5%Reduced–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF5,203$203.0K<0.1%+5,203New–
ETSYEtsy IncCOM976$203.0K<0.1%−341−25.9%ReducedHistory
First Tr Exchange-Traded FD33738R886DORSEY WRIGHT8,923$203.0K<0.1%−1,500−14.4%Reduced–
IQVIQVIA Holdings Inc.Stock853$204.0K<0.1%−23−2.6%ReducedHistory
VSTOVista Outdoor Inc.COM5,073$204.0K<0.1%00.0%UnchangedHistory
CRLCharles River Laboratories International, Inc.COM496$205.0K<0.1%+496NewHistory
CHDChurch & Dwight Co IncCOM2,499$206.0K<0.1%+73+3.0%AddedHistory
First Tr Exchange-Traded Alp33735K108COM SHS1,860$207.0K<0.1%00.0%Unchanged–
EMOClearBridge Energy Midstream Opportunity Fund Inc.COM9,512$208.0K<0.1%+438+4.8%AddedHistory
RACEFerrari N.V.COM1,000$209.0K<0.1%−50−4.8%ReducedHistory
BLMNBloomin' Brands, Inc.COM8,369$209.0K<0.1%+9+0.1%AddedHistory
CWCurtiss Wright CorpStock1,666$210.0K<0.1%+1,666NewHistory
WSFSWSFS Financial CorpCOM4,101$210.0K<0.1%+4,101NewHistory
ELANElanco Animal Health IncCOM6,570$210.0K<0.1%−86−1.3%ReducedHistory
NHCNational Healthcare CorpCOM3,018$211.0K<0.1%−100−3.2%ReducedHistory
KIDSOrthopediatrics CorpCOM3,216$211.0K<0.1%00.0%UnchangedHistory
CRHCRH Public Ltd CoADR4,509$211.0K<0.1%−1,931−30.0%ReducedHistory
KNXKnight-Swift Transportation Holdings Inc.CL A4,141$212.0K<0.1%−1,067−20.5%ReducedHistory
DRIDarden Restaurants IncCOM1,404$213.0K<0.1%+1,404NewHistory
WisdomTree Tr97717W315EMER MKT HIGH FD4,890$213.0K<0.1%+51+1.1%Added–
LTCLTC Properties IncREIT6,754$214.0K<0.1%−944−12.3%ReducedHistory
NOANorth American Construction Group Ltd.COM14,614$215.0K<0.1%+100+0.7%AddedHistory
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS3,502$215.0K<0.1%−2,933−45.6%Reduced–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF2,869$216.0K<0.1%+27+1.0%Added–
PSTLPostal Realty Trust, Inc.CL A11,565$216.0K<0.1%−3,119−21.2%ReducedHistory
ITTItt Inc.COM2,519$216.0K<0.1%00.0%UnchangedHistory
VACMarriott Vacations Worldwide CorpCOM1,378$217.0K<0.1%+1,378NewHistory
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF3,301$217.0K<0.1%+143+4.5%Added–
HFROHighland Opportunities & Income FundHIGHLAND INCOME20,189$217.0K<0.1%−1,430−6.6%ReducedHistory
Pacer FDS Tr69374H766INDUSTRIAL RELET4,970$218.0K<0.1%+4,970New–
CACICACI International IncCL A835$219.0K<0.1%+45+5.7%AddedHistory
FVRRFiverr International Ltd.ORD SHS1,205$220.0K<0.1%+110+10.0%AddedHistory
Invesco Exch TRD SLF Idx FD46138J635INVSCO BLSH 268,611$221.0K<0.1%+8,611New–
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC2,516$221.0K<0.1%00.0%Unchanged–
Vanguard Scottsdale FDS92206C714VNG RUS1000VAL3,210$221.0K<0.1%00.0%Unchanged–
UTFCohen & Steers Infrastructure Fund IncCOM8,198$222.0K<0.1%−655−7.4%ReducedHistory
SMTCSemtech CorpStock2,857$223.0K<0.1%−94−3.2%ReducedHistory
iShares Semiconductor ETF464287523ETF501$224.0K<0.1%+40+8.7%Added–
ZZillow Group, Inc.CL C CAP STK2,539$224.0K<0.1%+900+54.9%AddedHistory
Liberty Media Corp531229409COM A SIRIUSXM4,741$224.0K<0.1%−1,122−19.1%Reduced–
FBINFortune Brands Innovations, Inc.COM2,516$225.0K<0.1%00.0%UnchangedHistory
THOThor Industries IncCOM1,841$226.0K<0.1%+1,841NewHistory
GWREGuidewire Software, Inc.COM1,916$228.0K<0.1%+195+11.3%AddedHistory
CPECallon Petroleum CoCOM4,651$228.0K<0.1%−2,050−30.6%ReducedHistory
iShares Tr46435U713US INFRASTRUC6,721$229.0K<0.1%00.0%Unchanged–
PDCOPatterson Companies, Inc.COM7,599$229.0K<0.1%+300+4.1%AddedHistory
GTGoodyear Tire & Rubber CoCOM13,016$230.0K<0.1%+103+0.8%AddedHistory
Schwab US Aggregate Bond ETF808524839ETF4,257$231.0K<0.1%00.0%Unchanged–
WMGWarner Music Group Corp.COM CL A5,415$231.0K<0.1%+656+13.8%AddedHistory
MIMEMimecast LtdORD SHS3,629$231.0K<0.1%+12+0.3%AddedHistory
MARMarriott International IncStock75,562$232.0K<0.1%−1,150−1.5%ReducedHistory
State Street SPDR S&P Software & Services ETF78464A599ETF1,350$232.0K<0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW4,425$232.0K<0.1%−125−2.7%Reduced–
SBACSba Communications CorpCL A702$232.0K<0.1%+16+2.3%AddedHistory
HTGCHercules Capital, Inc.COM14,050$233.0K<0.1%+14,050NewHistory
Nushares ETF Tr67092P201NUVEEN ESG LRGCP3,556$233.0K<0.1%00.0%Unchanged–
TRUPTrupanion, Inc.COM3,005$233.0K<0.1%+493+19.6%AddedHistory
Neenah Inc640079109COM5,000$233.0K<0.1%00.0%Unchanged–

Sold out since Q2 2021 (76)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Stephens Inc sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX326,331$3.72M0.1%–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF26,946$3.56M0.1%–
Invesco Actvely MNGD Etc FD46090F100OPTIMUM YIELD173,933$3.49M0.1%–
SPDR Series Trust78464A755ST STR SP METAL75,519$3.25M<0.1%–
ARAntero Resources CorpCOM177,804$2.67M<0.1%History
OCFCOceanfirst Financial CorpCOM111,228$2.32M<0.1%History
AXTAAxalta Coating Systems Ltd.COM64,873$1.98M<0.1%History
ERIIEnergy Recovery, Inc.COM73,426$1.67M<0.1%History
VRTVertiv Holdings CoCOM CL A57,686$1.57M<0.1%History
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT376,084$1.50M<0.1%History
PDDPDD Holdings Inc.SPONSORED ADS11,009$1.40M<0.1%History
SBLKStar Bulk Carriers Corp.SHS PAR60,663$1.39M<0.1%History
THQabrdn Healthcare Opportunities FundSHS57,447$1.33M<0.1%History
CVACovanta Holding CorpCOM65,887$1.16M<0.1%History
CUZCousins Properties IncCOM NEW23,270$856.0K<0.1%History
AVIDAvid Technology, Inc.COM19,659$770.0K<0.1%History
CHYCalamos Convertible & High Income FundCOM SHS45,852$748.0K<0.1%History
KLICKulicke & Soffa Industries IncCOM10,358$634.0K<0.1%History
Capitala Fin Corp14054R502COM NEW22,513$553.0K<0.1%–
HBIOHarvard Bioscience IncCOM65,870$549.0K<0.1%History
WRIWeingarten Realty InvestorsSH BEN INT16,050$515.0K<0.1%History
AFRMAffirm Holdings, Inc.COM CL A7,088$477.0K<0.1%History
iShares Tr464287192US TRSPRTION1,611$419.0K<0.1%–
CCKCrown Holdings, Inc.COM4,086$418.0K<0.1%History
ITRIItron, Inc.COM3,700$370.0K<0.1%History
ALXNAlexion Pharmaceuticals, Inc.COM1,945$357.0K<0.1%History
DBPInvesco DB Precious Metals FundPRECIOUS METAL6,670$328.0K<0.1%History
LVSLas Vegas Sands CorpCOM6,137$323.0K<0.1%History
RVTYRevvity, Inc.COM2,070$320.0K<0.1%History
SIGSignet Jewelers LtdSHS3,961$320.0K<0.1%History
iShares Tr464288174GL TIMB FORE ETF3,560$309.0K<0.1%–
BYNDBeyond Meat, Inc.COM1,649$260.0K<0.1%History
STLSterling BancorpCOM10,267$255.0K<0.1%History
CVETCovetrus, Inc.COM9,390$254.0K<0.1%History
PDCEPDC Energy, Inc.COM5,514$252.0K<0.1%History
TRTNTriton International LtdCL A4,683$245.0K<0.1%History
ZTRVirtus Total Return Fund Inc.COM24,939$242.0K<0.1%History
Foley Trasimene Acquistn Cor34431F112*W EXP 05/26/202115,000$239.0K<0.1%–
LWLamb Weston Holdings, Inc.Stock2,835$229.0K<0.1%History
NVTAInvitae CorpCOM6,711$226.0K<0.1%History
EATBrinker International, IncStock3,553$220.0K<0.1%History
Global X FDS37950E416SOCIAL MED ETF3,030$219.0K<0.1%–
FTVFortive CorpStock3,121$218.0K<0.1%History
BERYBerry Global Group, Inc.COM3,318$216.0K<0.1%History
PFPTProofpoint IncCOM1,233$214.0K<0.1%History
ZMZoom Communications, Inc.Stock547$212.0K<0.1%History
TDToronto Dominion BankStock3,008$211.0K<0.1%History
CVGWCalavo Growers IncCOM3,332$211.0K<0.1%History
NTNXNutanix, Inc.Stock5,454$208.0K<0.1%History
NTLAIntellia Therapeutics, Inc.COM1,286$208.0K<0.1%History
MFCManulife Financial CorpCOM10,417$205.0K<0.1%History
CDWCDW CorpCOM1,170$204.0K<0.1%History
HALHalliburton CoStock8,735$202.0K<0.1%History
ADUSAddus HomeCare CorpCOM2,300$201.0K<0.1%History
Just Eat Takeaway Com N V48214T305SPONSORED ADS10,422$190.0K<0.1%–
EFREaton Vance Senior Floating-Rate TrustCOM13,308$188.0K<0.1%History
RQICohen & Steers Quality Income Realty Fund IncCEF10,818$170.0K<0.1%History
NFJVirtus Dividend, Interest & Premium Strategy FundCOM11,192$169.0K<0.1%History
Paysafe LtdG6964L115*W EXP 08/11/20245,831$164.0K<0.1%–
EFTEaton Vance Floating-Rate Income TrustCOM10,000$144.0K<0.1%History
VMEOVimeo, Inc.COMMON STOCK2,758$135.0K<0.1%History
Echo Global Logistics, Inc.27875T101COM3,903$120.0K<0.1%–
CHUYChuy's Holdings, Inc.COM2,500$93.0K<0.1%History
Microchip Technology Inc595017AD6NOTE 1.625% 2/122,000$73.0K<0.1%–
Wellpoint Inc94973VBG1NOTE 2.750%10/112,000$65.0K<0.1%–
AEGAegon Ltd.NY REGISTRY SHS13,760$57.0K<0.1%History
Nice Sys Inc65366HAB9NOTE 1.250% 1/118,000$53.0K<0.1%–
Apellis Pharmaceuticals, Inc.03753UAB2NOTE 3.500% 9/123,000$42.0K<0.1%–
Portman Ridge Fin Corp73688F102COM17,535$42.0K<0.1%–
Dexcom Inc252131AH0NOTE 0.750%12/013,000$34.0K<0.1%–
FIVNFive9, Inc.COM142$26.0K<0.1%History
Isis Pharmaceuticals Inc Del464337AJ3NOTE 1.000%11/113,000$13.0K<0.1%–
PRAHPRA Health Sciences, Inc.COM79$13.0K<0.1%History
TKNOAlpha Teknova, Inc.COM500$12.0K<0.1%History
PPDPPD, Inc.COM146$7.00K<0.1%History
Gabelli Equity Tr Inc362397218RIGHT 07/14/202118,390$2.00K<0.1%–