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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
NUANNuance Communications, Inc.COM9,497$523.0K<0.1%−7,157−43.0%ReducedHistory
Invesco Exch Traded FD Tr II46138G698S&P 500 REVENUE7,203$524.0K<0.1%+20.0%Added–
ROSTRoss Stores, Inc.COM4,816$524.0K<0.1%−839−14.8%ReducedHistory
JJacobs Solutions Inc.COM3,950$524.0K<0.1%−744−15.9%ReducedHistory
SPDR Series Trust78464A516ST INTL BBG ETF18,280$525.0K<0.1%−162−0.9%Reduced–
VCELVericel CorpCOM10,779$526.0K<0.1%−2,357−17.9%ReducedHistory
Vanguard Star FDS921909768VG TL INTL STK F8,330$527.0K<0.1%00.0%Unchanged–
Global X Uranium ETF37954Y871ETF22,245$529.0K<0.1%−1,460−6.2%Reduced–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF4,795$530.0K<0.1%−5,986−55.5%Reduced–
Pacer FDS Tr69374H717LUNT LRG CP ALTR12,878$530.0K<0.1%+7,885+157.9%Added–
CMPCompass Minerals International IncStock8,251$531.0K<0.1%+4,190+103.2%AddedHistory
HSTHost Hotels & Resorts, Inc.COM32,520$531.0K<0.1%−3,683−10.2%ReducedHistory
IIPRInnovative Industrial Properties IncCOM2,307$533.0K<0.1%−111−4.6%ReducedHistory
Vanguard Communication Services ETF92204A884ETF3,792$534.0K<0.1%00.0%Unchanged–
VWEVintage Wine Estates, Inc.COM52,357$535.0K<0.1%+52,357NewHistory
WisdomTree Tr97717X578EM EX ST-OWNED14,350$536.0K<0.1%+1,712+13.5%Added–
iShares Tr464287291GLOBAL TECH ETF9,462$536.0K<0.1%00.0%UnchangedConverted for a 6-for-1 split–
iShares Tr464287341GLOBAL ENERG ETF20,176$542.0K<0.1%−4,400−17.9%Reduced–
WRKWestRock CoCOM10,879$542.0K<0.1%+704+6.9%AddedHistory
BAMBrookfield Asset Management Ltd.CL A LTD VT SH10,186$545.0K<0.1%−2,316−18.5%ReducedHistory
TOSTToast, Inc.Stock11,000$549.0K<0.1%+11,000NewHistory
TECHBIO-TECHNE CorpCOM1,133$549.0K<0.1%+90+8.6%AddedHistory
NXRTNexPoint Residential Trust, Inc.COM8,931$553.0K<0.1%−910−9.2%ReducedHistory
AES Corp00130H204UNIT 99/99/99995,735$553.0K<0.1%+2,985+108.5%Added–
WDAYWorkday, Inc.CL A2,219$555.0K<0.1%−297−11.8%ReducedHistory
WUWestern Union COStock27,502$556.0K<0.1%00.0%UnchangedHistory
MKTXMarketaxess Holdings IncCOM1,323$557.0K<0.1%+32+2.5%AddedHistory
CUBECubeSmartREIT11,603$562.0K<0.1%−6,894−37.3%ReducedHistory
AESAES CorpStock24,712$564.0K<0.1%+288+1.2%AddedHistory
TDOCTeladoc Health, Inc.COM4,477$568.0K<0.1%−824−15.5%ReducedHistory
SPOTSpotify Technology S.A.Stock2,533$571.0K<0.1%+435+20.7%AddedHistory
HPHelmerich & Payne, Inc.COM20,866$572.0K<0.1%+49+0.2%AddedHistory
DXPEDXP Enterprises IncCOM NEW19,392$573.0K<0.1%00.0%UnchangedHistory
Invesco Exchange Traded FD T46137V266S&P500 PUR GWT2,992$576.0K<0.1%−80−2.6%Reduced–
PHMPultegroup IncCOM12,554$576.0K<0.1%+12,554NewHistory
ROKURoku, IncCOM CL A1,838$576.0K<0.1%+393+27.2%AddedHistory
PCRXPacira BioSciences, Inc.COM10,284$576.0K<0.1%+189+1.9%AddedHistory
LNCLincoln National CorpCOM8,394$577.0K<0.1%00.0%UnchangedHistory
CCLCarnival Corp Ltd.UNIT 99/99/999923,119$578.0K<0.1%+82+0.4%AddedHistory
STESTERIS plcSHS USD2,839$580.0K<0.1%+172+6.4%AddedHistory
FRPTFreshpet, Inc.Stock4,078$582.0K<0.1%+154+3.9%AddedHistory
TROXTronox Holdings plcSHS23,630$582.0K<0.1%+457+2.0%AddedHistory
LYVLive Nation Entertainment, Inc.COM6,441$587.0K<0.1%+145+2.3%AddedHistory
WYNNWynn Resorts LtdCOM6,955$589.0K<0.1%+4,690+207.1%AddedHistory
IAAIAA, Inc.COM10,789$589.0K<0.1%+6,948+180.9%AddedHistory
MAAMid America Apartment Communities Inc.COM3,176$593.0K<0.1%00.0%UnchangedHistory
BLFSBiolife Solutions IncCOM NEW14,004$593.0K<0.1%−39−0.3%ReducedHistory
TEITempleton Emerging Markets Income FundCOM76,824$595.0K<0.1%−9,822−11.3%ReducedHistory
SIENProject Sage Oldco, Inc.COM104,275$597.0K<0.1%+21,500+26.0%AddedHistory
First Trust Financials Alphadex Fund33734X135ETF13,531$599.0K<0.1%+20.0%Added–
LRCXLam Research CorpCOM1,060$603.0K<0.1%−342−24.4%ReducedHistory
NBIXNeurocrine Biosciences IncStock6,296$604.0K<0.1%+524+9.1%AddedHistory
ZSZscaler, Inc.Stock2,304$604.0K<0.1%+2,304NewHistory
SRESempraStock4,781$605.0K<0.1%−830−14.8%ReducedHistory
First Tr Exchng Traded FD VI33740F862FT VEST US EQT16,605$606.0K<0.1%+16,605New–
ELEstee Lauder Companies IncCL A2,027$608.0K<0.1%−44−2.1%ReducedHistory
MOSMosaic CoCOM17,188$614.0K<0.1%+1,439+9.1%AddedHistory
CRNCCerence Inc.COM6,387$614.0K<0.1%−1,448−18.5%ReducedHistory
CDNSCadence Design Systems IncStock4,090$619.0K<0.1%−920−18.4%ReducedHistory
HSYHershey CoCOM3,655$619.0K<0.1%+358+10.9%AddedHistory
SPDR Ser Tr78468R689S&P KENSHO SMART11,297$619.0K<0.1%+533+5.0%Added–
Monmouth Real Estate Investment Corp609720107CL A33,252$620.0K<0.1%−841−2.5%Reduced–
iShares Russell Top 200 Growth ETF464289438ETF4,066$621.0K<0.1%+54+1.3%Added–
First Tr Exchange-Traded FD33738D101NO AMER ENERGY26,259$622.0K<0.1%−66−0.3%Reduced–
CNNECannae Holdings, Inc.COM20,028$623.0K<0.1%−67,488−77.1%ReducedHistory
PIMCO ETF Tr72201R718ENHNCD LW DUR AC6,125$624.0K<0.1%00.0%Unchanged–
UFSDomtar CORPCOM NEW11,490$627.0K<0.1%−2,305−16.7%ReducedHistory
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH3,784$628.0K<0.1%−35−0.9%Reduced–
KIMKimco Realty CorpCOM30,343$630.0K<0.1%+8,542+39.2%AddedHistory
SLBSLB LimitedStock21,277$631.0K<0.1%−10,971−34.0%ReducedHistory
VRSKVerisk Analytics, Inc.COM3,154$632.0K<0.1%+40+1.3%AddedHistory
TERTeradyne, IncStock5,803$634.0K<0.1%+796+15.9%AddedHistory
WRBBerkley W R CorpCOM8,695$636.0K<0.1%+304+3.6%AddedHistory
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL13,195$636.0K<0.1%00.0%Unchanged–
VMCVulcan Materials COCOM3,785$640.0K<0.1%−439−10.4%ReducedHistory
BUDAnheuser-Busch InBev SA/NVADR11,361$641.0K<0.1%−2,638−18.8%ReducedHistory
WWayfair Inc.CL A2,508$641.0K<0.1%+1,584+171.4%AddedHistory
ELSEquity Lifestyle Properties IncCOM8,239$643.0K<0.1%−950−10.3%ReducedHistory
SBRASabra Health Care REIT, Inc.REIT43,758$644.0K<0.1%+2,572+6.2%AddedHistory
BSXBoston Scientific CorpStock14,863$645.0K<0.1%−1,570−9.6%ReducedHistory
TRGPTarga Resources Corp.COM13,294$654.0K<0.1%−612−4.4%ReducedHistory
GRXGabelli Healthcare & WellnessRx TrustSHS49,660$656.0K<0.1%−4,145−7.7%ReducedHistory
BXPBXP, Inc.COM6,062$657.0K<0.1%−1,095−15.3%ReducedHistory
JYNTJOINT CorpCOM6,716$658.0K<0.1%+6,716NewHistory
DXCDXC Technology CoStock19,639$660.0K<0.1%+442+2.3%AddedHistory
COFCapital One Financial CorpStock4,076$660.0K<0.1%−579−12.4%ReducedHistory
AAPAdvance Auto Parts IncCOM3,168$662.0K<0.1%−572−15.3%ReducedHistory
Innovator ETFs Trust45782C342US SML CP PWR ET24,469$666.0K<0.1%−45−0.2%Reduced–
TMUST-Mobile US, Inc.Stock5,234$669.0K<0.1%−1,709−24.6%ReducedHistory
Fidelity Covington Trust316092873MSCI COMMNTN SVC12,520$669.0K<0.1%00.0%Unchanged–
MHKMohawk Industries IncCOM3,780$671.0K<0.1%+37+1.0%AddedHistory
PINGPing Identity Holding Corp.COM27,427$674.0K<0.1%+27,427NewHistory
iShares Ibonds Dec 2025 Term Corporate ETF46434VBD1ETF25,290$679.0K<0.1%00.0%Unchanged–
iShares Tr46434VBG4IBONDS DEC24 ETF25,812$679.0K<0.1%00.0%Unchanged–
WALWestern Alliance BancorporationCOM6,246$680.0K<0.1%−1,164−15.7%ReducedHistory
LHLabcorp Holdings Inc.COM NEW2,420$681.0K<0.1%+52+2.2%AddedHistory
SABASaba Capital Income & Opportunities Fund IICOM126,620$681.0K<0.1%+1,114+0.9%AddedHistory
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF11,481$690.0K<0.1%+558+5.1%Added–
LADLithia Motors IncCOM2,187$693.0K<0.1%−621−22.1%ReducedHistory
ASOAcademy Sports & Outdoors, Inc.COM17,451$698.0K<0.1%−4,253−19.6%ReducedHistory

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%–