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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
CONNConns IncCOM60,412$1.38M<0.1%−863−1.4%ReducedHistory
SPDR Series Trust78468R408ST TERM HIGH ETF50,369$1.38M<0.1%−4,034−7.4%Reduced–
ASMLASML Holding NVADR1,854$1.38M<0.1%−12−0.6%ReducedHistory
RYRoyal Bank of CanadaStock13,896$1.38M<0.1%+48+0.3%AddedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF10,696$1.39M<0.1%−26,281−71.1%Reduced–
IGRCbre Global Real Estate Income FundCOM167,407$1.40M<0.1%+321+0.2%AddedHistory
MUMicron Technology IncStock19,820$1.41M<0.1%−6,526−24.8%ReducedHistory
OGNOrganon & Co.Stock43,104$1.41M<0.1%+8,225+23.6%AddedHistory
MDYSPDR S&P Midcap 400 ETF TrustETF2,955$1.42M<0.1%−129−4.2%ReducedHistory
OMCOmnicom Group Inc.COM19,652$1.42M<0.1%+7,600+63.1%AddedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM343,466$1.43M<0.1%+5,645+1.7%AddedHistory
MPLXMPLX LPCOM UNIT REP LTD50,111$1.43M<0.1%−3,396−6.3%ReducedHistory
RCLRoyal Caribbean Cruises LtdCOM16,070$1.43M<0.1%+50+0.3%AddedHistory
TMPTompkins Financial CorpCOM17,705$1.43M<0.1%−15,162−46.1%ReducedHistory
Goldman Sachs ETF Tr381430107ACTIVEBETA INT41,976$1.43M<0.1%+501+1.2%Added–
FICOFair Isaac CorpCOM3,607$1.44M<0.1%+27+0.8%AddedHistory
AVLRAvalara, Inc.COM8,290$1.45M<0.1%−2,291−21.7%ReducedHistory
JEFJefferies Financial Group Inc.COM39,171$1.45M<0.1%+357+0.9%AddedHistory
EMNEastman Chemical CoStock14,451$1.46M<0.1%+206+1.4%AddedHistory
VBTXVeritex Holdings, Inc.COM37,244$1.47M<0.1%+180.0%AddedHistory
ADIAnalog Devices IncStock8,759$1.47M<0.1%+1,337+18.0%AddedHistory
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL13,281$1.48M<0.1%−70−0.5%Reduced–
DALDelta Air Lines, Inc.COM NEW34,685$1.48M<0.1%−11,086−24.2%ReducedHistory
MPMP Materials Corp.COM CL A45,986$1.48M<0.1%+45,986NewHistory
XECCimarex Energy CoCOM16,999$1.48M<0.1%−3,477−17.0%ReducedHistory
HBANHuntington Bancshares IncCOM95,980$1.48M<0.1%−20,172−17.4%ReducedHistory
HUBSHubSpot IncCOM2,210$1.49M<0.1%+1,210+121.0%AddedHistory
OECOrion S.A.COM81,938$1.49M<0.1%−5,252−6.0%ReducedHistory
AIGAmerican International Group, Inc.Stock27,232$1.50M<0.1%−1,282−4.5%ReducedHistory
MCKMcKesson CorpStock7,501$1.50M<0.1%−593−7.3%ReducedHistory
BTRSBTRS Holdings Inc.COM CL 1141,700$1.51M<0.1%00.0%UnchangedHistory
Goldman Sachs ETF Tr38149W507ACES INVSTMNT GR30,260$1.52M<0.1%00.0%Unchanged–
SRIStoneridge IncCOM74,471$1.52M<0.1%+74,471NewHistory
ORealty Income CorpREIT23,792$1.54M<0.1%+2,924+14.0%AddedHistory
Innovator ETFs Trust45782C284US SML CP PWR B59,169$1.54M<0.1%+59,169New–
GLWCorning IncCOM42,633$1.56M<0.1%+444+1.1%AddedHistory
YUMYum Brands IncStock12,782$1.56M<0.1%−134−1.0%ReducedHistory
MGMMGM Resorts InternationalStock36,650$1.58M<0.1%+590+1.6%AddedHistory
XUnited States Steel CorpCOM72,028$1.58M<0.1%+72,028NewHistory
Goldman Sachs ETF Tr381430602ACTIVEBETA US25,155$1.58M<0.1%+2,000+8.6%Added–
iShares Tr464287697U.S. UTILITS ETF20,278$1.60M<0.1%−16,735−45.2%Reduced–
DDSDillard's, Inc.CL A9,328$1.61M<0.1%−13,278−58.7%ReducedHistory
WCNWaste Connections, Inc.COM12,822$1.61M<0.1%+339+2.7%AddedHistory
Innovator ETFs Trust45782C714EMRGNG MKT JULY63,000$1.62M<0.1%+63,000New–
CLXClorox CoStock9,848$1.63M<0.1%+15+0.2%AddedHistory
ORIOld Republic International CorpCOM70,869$1.64M<0.1%+632+0.9%AddedHistory
IDXXIDEXX Laboratories IncCOM2,642$1.64M<0.1%−697−20.9%ReducedHistory
CTASCintas CorpStock4,318$1.64M<0.1%−269−5.9%ReducedHistory
TRUETrueCar, Inc.COM399,289$1.66M<0.1%00.0%UnchangedHistory
iShares Tr464288448INTL SEL DIV ETF54,814$1.67M<0.1%+5,770+11.8%Added–
IVCInvacare Holdings CorpCOM350,801$1.67M<0.1%+3,387+1.0%AddedHistory
First Tr Exchange-Traded FD33734H106SHS42,806$1.68M<0.1%+1,004+2.4%Added–
IPGPIpg Photonics CorpCOM10,605$1.68M<0.1%+9,907+1,419.3%AddedHistory
HBIHanesbrands Inc.COM98,359$1.69M<0.1%−9,663−8.9%ReducedHistory
UBERUber Technologies, IncStock37,784$1.69M<0.1%−11,218−22.9%ReducedHistory
iShares Tr46429B655FLTG RATE NT ETF33,509$1.70M<0.1%+320+1.0%Added–
CORCencora, Inc.Stock14,339$1.71M<0.1%−2,580−15.2%ReducedHistory
BABAAlibaba Group Holding LtdADR11,596$1.72M<0.1%+1,647+16.6%AddedHistory
Invesco Exch TRD SLF Idx FD46138J783BULSHS 2027 CB78,679$1.72M<0.1%+3,320+4.4%Added–
DOCUDocuSign, Inc.Stock6,734$1.73M<0.1%+1,661+32.7%AddedHistory
GNRCGenerac Holdings Inc.Stock4,281$1.75M<0.1%+554+14.9%AddedHistory
PNRPENTAIR plcSHS24,275$1.76M<0.1%−1,976−7.5%ReducedHistory
TRPTC Energy CorpCOM36,719$1.77M<0.1%−3,032−7.6%ReducedHistory
BPBP PLCADR64,688$1.77M<0.1%−29,135−31.1%ReducedHistory
ZBRAZebra Technologies CorpCL A3,437$1.77M<0.1%−10−0.3%ReducedHistory
KRKroger CoStock44,059$1.78M<0.1%−5,644−11.4%ReducedHistory
Vanguard Financials ETF92204A405ETF19,280$1.79M<0.1%−316−1.6%Reduced–
JWNNordstrom IncStock68,163$1.80M<0.1%+21,782+47.0%AddedHistory
ATOAtmos Energy CorpCOM20,604$1.82M<0.1%−8,884−30.1%ReducedHistory
TTDTrade Desk, Inc.Stock25,948$1.82M<0.1%+1,468+6.0%AddedHistory
VMWVmware LLCCL A COM12,395$1.84M<0.1%−5,756−31.7%ReducedHistory
First Trust Rising Dividend Achievers ETF33738R506ETF38,981$1.85M<0.1%+13,156+50.9%Added–
ZBHZimmer Biomet Holdings, Inc.Stock12,746$1.87M<0.1%+413+3.3%AddedHistory
SDCSmileDirectClub, Inc.CL A COM351,464$1.87M<0.1%−53,162−13.1%ReducedHistory
AMDAdvanced Micro Devices IncStock18,266$1.88M<0.1%−13,275−42.1%ReducedHistory
DKNGDraftKings Inc.COM CL A39,089$1.88M<0.1%+11,300+40.7%AddedHistory
INGRIngredion IncCOM21,405$1.91M<0.1%−2,071−8.8%ReducedHistory
MTCHMatch Group, Inc.COM12,166$1.91M<0.1%+3,056+33.5%AddedHistory
MELIMercadolibre IncCOM1,141$1.92M<0.1%−47−4.0%ReducedHistory
INTUIntuit Inc.Stock3,559$1.92M<0.1%−162−4.4%ReducedHistory
ALLYAlly Financial Inc.Stock37,656$1.92M<0.1%−23,078−38.0%ReducedHistory
BLKBBlackbaud IncCOM27,535$1.94M<0.1%+12,954+88.8%AddedHistory
XELXcel Energy IncStock31,049$1.94M<0.1%−23,221−42.8%ReducedHistory
LUVSouthwest Airlines CoCOM37,813$1.95M<0.1%+1,143+3.1%AddedHistory
MCHPMicrochip Technology IncStock12,831$1.97M<0.1%+43+0.3%AddedHistory
ICLRIcon PLCCOM7,607$1.99M<0.1%+2,120+38.6%AddedHistory
Vanguard Scottsdale FDS92206C573TOTAL CORP BND22,013$2.01M<0.1%+276+1.3%Added–
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF24,786$2.01M<0.1%+2,303+10.2%Added–
GDOTGreen Dot CorpCL A40,000$2.01M<0.1%−50,000−55.6%ReducedHistory
iShares MSCI USA Min Vol Factor ETF46429B697ETF27,525$2.02M<0.1%+1,916+7.5%Added–
iShares Tr464287150CORE S&P TTL STK20,603$2.03M<0.1%+20,603New–
OMFOneMain Holdings, Inc.COM36,758$2.03M<0.1%+15,968+76.8%AddedHistory
NGGNational Grid PLCSPONSORED ADR NE34,156$2.04M<0.1%−27,292−44.4%ReducedHistory
BF.BBrown Forman CorpStock30,700$2.06M<0.1%+2,509+8.9%AddedHistory
CGCarlyle Group Inc.COM43,655$2.06M<0.1%+1,090+2.6%AddedHistory
Vanguard Morningstar Mid-Cap Growth ETF922908538ETF8,741$2.06M<0.1%+435+5.2%Added–
ARESAres Management CorpCL A COM STK28,000$2.07M<0.1%−275−1.0%ReducedHistory
BROBrown & Brown, Inc.Stock37,516$2.08M<0.1%+847+2.3%AddedHistory
ALBAlbemarle CorpStock9,534$2.09M<0.1%−9,025−48.6%ReducedHistory
CFCF Industries Holdings, Inc.COM37,850$2.11M<0.1%+37,850NewHistory

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%–