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Livermore
Livermore
ZHEN

Stephens Inc

SEC CIK
0000757657
Latest filing
Jul 29, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 2, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
1,202
−25 vs. Q2 2022
Portfolio value
$4.68B
−$272.9M (−5.5%) vs. Q2 2022
Filed
Nov 2, 2022
SEC
Holdings of Stephens Inc in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
TNDMTandem Diabetes Care IncCOM NEW2,053$98.0K<0.1%+772+60.3%AddedHistory
CCLCarnival Corp Ltd.UNIT 99/99/999913,895$98.0K<0.1%+13,895NewHistory
SMFGSumitomo Mitsui Financial Group, Inc.SPONSORED ADR18,448$101.0K<0.1%+73+0.4%AddedHistory
NEONeogenomics IncCOM NEW11,683$101.0K<0.1%−3,000−20.4%ReducedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER15,375$102.0K<0.1%+15,375NewHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS12,655$102.0K<0.1%−760−5.7%ReducedHistory
PRPermian Resources CorpCLASS A COM15,000$102.0K<0.1%+15,000NewHistory
Cyberark Software LtdM2682V108SHS680$102.0K<0.1%00.0%Unchanged–
BURLBurlington Stores, Inc.COM927$104.0K<0.1%−174−15.8%ReducedHistory
GELGenesis Energy LPUNIT LTD PARTN11,424$105.0K<0.1%+20+0.2%AddedHistory
SICPSilvergate Capital CorpCL A1,390$105.0K<0.1%−56−3.9%ReducedHistory
BFAMBright Horizons Family Solutions Inc.COM1,847$106.0K<0.1%+107+6.1%AddedHistory
TERTeradyne, IncStock1,468$110.0K<0.1%−317−17.8%ReducedHistory
Farfetch Ltd30744W107ORD SH CL A14,752$110.0K<0.1%+5,925+67.1%Added–
NUVANuvasive IncCOM2,520$110.0K<0.1%−85−3.3%ReducedHistory
ESRTEmpire State Realty Trust, Inc.CL A16,903$111.0K<0.1%−5,173−23.4%ReducedHistory
Pioneer Nat Res Co723787AP2NOTE 0.250% 5/152,000$113.0K<0.1%00.0%Unchanged–
PBPBPotbelly CorpCOM25,185$114.0K<0.1%00.0%UnchangedHistory
HALOHalozyme Therapeutics, Inc.COM2,899$115.0K<0.1%00.0%UnchangedHistory
PAGPPlains GP Holdings LPLTD PARTNR INT A10,957$120.0K<0.1%+18+0.2%AddedHistory
ICLICL Group Ltd.SHS14,700$120.0K<0.1%00.0%UnchangedHistory
NMFCNew Mountain Finance CorpCOM10,500$121.0K<0.1%+10,500NewHistory
VFFVillage Farms International, Inc.COM63,100$121.0K<0.1%−9,000−12.5%ReducedHistory
GLOClough Global Opportunities FundSH BEN INT22,031$122.0K<0.1%+446+2.1%AddedHistory
PSECProspect Capital CorpCOM19,917$123.0K<0.1%+3,001+17.7%AddedHistory
FOXFFox Factory Holding CorpCOM1,553$123.0K<0.1%+700+82.1%AddedHistory
TDFTempleton Dragon Fund IncCOM13,244$123.0K<0.1%−8,466−39.0%ReducedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM11,660$124.0K<0.1%−8,271−41.5%ReducedHistory
RVLVRevolve Group, Inc.CL A5,782$125.0K<0.1%−28−0.5%ReducedHistory
STEWSRH Total Return Fund, Inc.COM11,583$126.0K<0.1%00.0%UnchangedHistory
GWREGuidewire Software, Inc.COM2,069$127.0K<0.1%+10.0%AddedHistory
NMZNuveen Municipal High Income Opportunity FundCOM12,415$128.0K<0.1%+12,415NewHistory
GTLSChart Industries IncCOM700$129.0K<0.1%+258+58.4%AddedHistory
BCPCBalchem CorpCOM1,078$131.0K<0.1%−36−3.2%ReducedHistory
CGNXCognex CorpCOM3,195$132.0K<0.1%−2,218−41.0%ReducedHistory
FIVEFive Below, IncCOM971$134.0K<0.1%−210−17.8%ReducedHistory
CHEFChefs' Warehouse, Inc.COM4,620$134.0K<0.1%−51−1.1%ReducedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM12,650$135.0K<0.1%+44+0.3%AddedHistory
Yamana Gold Inc98462Y100COM29,761$135.0K<0.1%00.0%Unchanged–
BCSBarclays PLCADR21,284$136.0K<0.1%+470+2.3%AddedHistory
EXELExelixis, Inc.COM9,046$142.0K<0.1%−110−1.2%ReducedHistory
NOANorth American Construction Group Ltd.COM14,928$143.0K<0.1%00.0%UnchangedHistory
HSICHenry Schein IncCOM2,256$148.0K<0.1%−32−1.4%ReducedHistory
PRAAPra Group IncCOM4,625$152.0K<0.1%+430+10.3%AddedHistory
DOLEDole plcORD SHS20,757$152.0K<0.1%−7,755−27.2%ReducedHistory
UBSUBS Group AGStock10,518$153.0K<0.1%−85−0.8%ReducedHistory
LESLLeslie's, Inc.COM10,390$153.0K<0.1%−73−0.7%ReducedHistory
PINGPing Identity Holding Corp.COM5,447$153.0K<0.1%−15,799−74.4%ReducedHistory
LGNDLigand Pharmaceuticals IncCOM NEW1,783$154.0K<0.1%−48−2.6%ReducedHistory
PROPROS Holdings, Inc.COM6,215$154.0K<0.1%+700+12.7%AddedHistory
BOXBox IncCL A6,411$156.0K<0.1%−68−1.0%ReducedHistory
FIVNFive9, Inc.COM2,125$159.0K<0.1%+122+6.1%AddedHistory
MFCManulife Financial CorpCOM10,268$161.0K<0.1%+8+0.1%AddedHistory
BGTBlackRock Floating Rate Income TrustCOM15,095$164.0K<0.1%00.0%UnchangedHistory
POOLPool CorpCOM518$165.0K<0.1%+11+2.2%AddedHistory
RITMRithm Capital Corp.REIT22,955$168.0K<0.1%−11,388−33.2%ReducedHistory
WMGWarner Music Group Corp.COM CL A7,234$168.0K<0.1%−96−1.3%ReducedHistory
CGNTCognyte Software Ltd.ORD SHS42,750$173.0K<0.1%−14,575−25.4%ReducedHistory
NICENICE Ltd.SPONSORED ADR922$174.0K<0.1%−20−2.1%ReducedHistory
VWEVintage Wine Estates, Inc.COM64,718$179.0K<0.1%−13,015−16.7%ReducedHistory
HFROHighland Opportunities & Income FundHIGHLAND INCOME18,470$180.0K<0.1%+900+5.1%AddedHistory
MRCCMonroe Capital CorpCOM24,817$180.0K<0.1%−269−1.1%ReducedHistory
LOGCContextLogic Inc.COM CL A247,148$181.0K<0.1%−4,703−1.9%ReducedHistory
Global X FDS37954Y715RBTCS ARTFL INTE10,353$187.0K<0.1%−940−8.3%Reduced–
TEITempleton Emerging Markets Income FundCOM42,684$189.0K<0.1%−8,653−16.9%ReducedHistory
WSRWhitestone REITCOM22,402$190.0K<0.1%00.0%UnchangedHistory
CSQCalamos Strategic Total Return FundCOM SH BEN INT15,400$193.0K<0.1%−3,211−17.3%ReducedHistory
HSTHost Hotels & Resorts, Inc.COM12,400$197.0K<0.1%−6,436−34.2%ReducedHistory
iShares Tr464288844US OIL EQ&SV ETF13,771$198.0K<0.1%00.0%Unchanged–
ENLCEnLink Midstream, LLCCOM UNIT REP LTD22,363$199.0K<0.1%−36−0.2%ReducedHistory
Flagstar Bank, National Association649445103COM23,327$199.0K<0.1%00.0%Unchanged–
SWNSouthwestern Energy CoCOM32,570$199.0K<0.1%+3,863+13.5%AddedHistory
UTFCohen & Steers Infrastructure Fund IncCOM8,636$201.0K<0.1%+10+0.1%AddedHistory
Vanguard Industrials ETF92204A603ETF1,283$202.0K<0.1%00.0%Unchanged–
LITELumentum Holdings Inc.COM2,953$202.0K<0.1%−281−8.7%ReducedHistory
EVVEaton Vance Ltd Duration Income FundCOM22,010$203.0K<0.1%−4,810−17.9%ReducedHistory
CNPCenterpoint Energy IncCOM7,238$204.0K<0.1%−366−4.8%ReducedHistory
VTRVentas, Inc.REIT5,104$205.0K<0.1%−382−7.0%ReducedHistory
Boston Scientific Corp1011372065.50% CNV PFD A2,035$206.0K<0.1%00.0%Unchanged–
iShares Core MSCI Eafe ETF46432F842ETF3,922$207.0K<0.1%−25−0.6%Reduced–
SNASnap-on IncCOM1,040$209.0K<0.1%−19−1.8%ReducedHistory
ROSTRoss Stores, Inc.COM2,481$209.0K<0.1%−1,383−35.8%ReducedHistory
CLFDClearfield, Inc.COM2,000$209.0K<0.1%+2,000NewHistory
CNOBConnectOne Bancorp, Inc.COM9,119$210.0K<0.1%+9+0.1%AddedHistory
CNNECannae Holdings, Inc.COM10,181$210.0K<0.1%−864−7.8%ReducedHistory
RVTRoyce Small-Cap Trust, Inc.COM16,777$211.0K<0.1%+269+1.6%AddedHistory
Vanguard S&P 500 Growth ETF921932505ETF1,015$212.0K<0.1%00.0%Unchanged–
CETCentral Securities CorpCOM6,275$212.0K<0.1%+100+1.6%AddedHistory
AALAmerican Airlines Group Inc.Stock17,699$213.0K<0.1%−1,400−7.3%ReducedHistory
iShares Tr464288786U.S. INSRNCE ETF2,689$213.0K<0.1%+15+0.6%Added–
LNGCheniere Energy, Inc.COM NEW1,291$214.0K<0.1%+1,291NewHistory
HOLXHologic IncCOM3,321$214.0K<0.1%+455+15.9%AddedHistory
DXCDXC Technology CoStock8,768$215.0K<0.1%−2,851−24.5%ReducedHistory
iShares Tr46434V4070-5YR HI YL CP5,384$215.0K<0.1%−9,165−63.0%Reduced–
TWOU2U, LLCCOM34,338$215.0K<0.1%00.0%UnchangedHistory
MMSMaximus, Inc.COM3,731$216.0K<0.1%−47−1.2%ReducedHistory
KIOKKR Income Opportunities FundCOM18,903$216.0K<0.1%00.0%UnchangedHistory
EMOClearBridge Energy Midstream Opportunity Fund Inc.COM8,637$216.0K<0.1%+7+0.1%AddedHistory
UNITUniti Group Inc.COM31,094$216.0K<0.1%−1,059−3.3%ReducedHistory
SITESiteOne Landscape Supply, Inc.COM2,091$218.0K<0.1%−72−3.3%ReducedHistory

Sold out since Q2 2022 (79)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of Stephens Inc sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
First Tr Exchange-Traded FD33738D309SENIOR LN FD260,841$11.5M0.2%–
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT238,291$5.50M0.1%History
VanEck ETF Trust92189F700AGRIBUSINESS ETF54,521$4.71M0.1%–
LUNGPulmonx CorpCOM274,039$4.03M0.1%History
First Tr Exchange Traded FD33738R795NASDAQ TRANSN154,884$3.92M0.1%–
Invesco Exch TRD SLF Idx FD46138J783BULSHS 2027 CB200,959$3.89M0.1%–
Invesco Exch TRD SLF Idx FD46138J643INVSCO BLSH 28108,689$2.17M<0.1%–
GSKGSK plcSPONSORED ADR47,693$2.08M<0.1%History
Simplify Exchange Traded Fun82889N202US EQT PLS DWNSD70,677$1.87M<0.1%–
BLKBBlackbaud IncCOM31,362$1.82M<0.1%History
Kraneshares Trust500767306CSI CHI INTERNET30,706$1.01M<0.1%–
Dte Energy Co233331842UNIT 11/01/2022S17,895$920.0K<0.1%–
ProShares Tr74347B425SHORT S&P 500 NE55,000$908.0K<0.1%–
AVLRAvalara, Inc.COM11,326$800.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J528BULSHS 2025 MUNI31,025$761.0K<0.1%–
TCBXThird Coast Bancshares, Inc.COM29,702$650.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J510BULSHS 2026 MUNI24,950$590.0K<0.1%–
PLABPhotronics IncCOM26,006$507.0K<0.1%History
OLNOLIN CorpStock10,825$501.0K<0.1%History
BRSLBrightstar Lottery PLCSHS USD26,569$493.0K<0.1%History
IVZInvesco Ltd.Stock28,264$456.0K<0.1%History
NXRTNexPoint Residential Trust, Inc.COM7,295$456.0K<0.1%History
HWMHowmet Aerospace Inc.Stock13,724$432.0K<0.1%History
EVRIEveri Holdings Inc.COM25,356$414.0K<0.1%History
PACWPacwest BancorpCOM14,683$391.0K<0.1%History
Riverview Acquisition Corp.769395203UNIT 07/29/202635,000$364.0K<0.1%–
AGNTAGNT, Inc.COM29,373$346.0K<0.1%History
Viacomcbs Inc92556H305PFD8,715$344.0K<0.1%–
AAWWAtlas Air Worldwide Holdings IncCOM NEW5,454$337.0K<0.1%History
MHKMohawk Industries IncCOM2,670$331.0K<0.1%History
iShares Tr464289883CORE 30 70 ETF9,337$323.0K<0.1%–
CUTRCutera IncCOM8,571$321.0K<0.1%History
OGEOGE Energy Corp.COM8,242$318.0K<0.1%History
Vanguard Utilities ETF92204A876ETF2,080$317.0K<0.1%–
HUNHuntsman CORPCOM10,772$305.0K<0.1%History
PCGPG&E CorpStock30,030$300.0K<0.1%History
LADLithia Motors IncCOM1,063$292.0K<0.1%History
IRMIron Mountain IncCOM5,754$280.0K<0.1%History
First Tr Exchange Traded FD33741X102SMID RISNG ETF11,435$273.0K<0.1%–
ASOAcademy Sports & Outdoors, Inc.COM7,638$271.0K<0.1%History
CSRCenterspaceCOM3,267$266.0K<0.1%History
HALHalliburton CoStock8,067$253.0K<0.1%History
OKTAOkta, Inc.CL A2,762$250.0K<0.1%History
WPMWheaton Precious Metals Corp.COM6,841$246.0K<0.1%History
Southern Co842587602UNIT 08/01/20224,475$237.0K<0.1%–
UGIUgi CorpStock6,103$236.0K<0.1%History
BIOBio-Rad Laboratories, Inc.CL A476$236.0K<0.1%History
TDToronto Dominion BankStock3,577$235.0K<0.1%History
LOPEGrand Canyon Education, Inc.COM2,491$235.0K<0.1%History
KMXCarMax IncCOM2,534$229.0K<0.1%History
ARWArrow Electronics, Inc.COM2,040$229.0K<0.1%History
VSTVistra Corp.Stock9,671$221.0K<0.1%History
SPDR Series Trust78464A516ST INTL BBG ETF9,487$220.0K<0.1%–
BGSB&G Foods, Inc.COM9,272$220.0K<0.1%History
HPQHP IncStock6,685$219.0K<0.1%History
HRHealthcare Realty Trust IncCOM7,961$217.0K<0.1%History
MTZMastec IncCOM2,954$212.0K<0.1%History
BDX 6 06/01/23 Pfd075887406CONVERTIBLE PREFERRED STOCK4,225$209.0K<0.1%–
GATXGatx CorpCOM2,201$207.0K<0.1%History
Pacer FDS Tr69374H766INDUSTRIAL RELET4,970$203.0K<0.1%–
BXMTBlackstone Mortgage Trust, Inc.COM CL A7,268$201.0K<0.1%History
CPNGCoupang, Inc.CL A13,158$168.0K<0.1%History
PSTLPostal Realty Trust, Inc.CL A10,480$156.0K<0.1%History
UUnity Software Inc.COM4,229$156.0K<0.1%History
NLYAnnaly Capital Management IncCOM25,600$151.0K<0.1%History
LYFTLyft, Inc.CL A COM11,150$148.0K<0.1%History
ARCOArcos Dorados Holdings Inc.SHS CLASS -A -21,951$148.0K<0.1%History
MTGMgic Investment CorpCOM10,526$133.0K<0.1%History
UMCUnited Microelectronics CorpSPON ADR NEW18,771$127.0K<0.1%History
Blueknight Energy Partners 1109625U208PFD11,400$97.0K<0.1%–
AIVApartment Investment & Management CoCL A12,359$79.0K<0.1%History
PGREParamount Group, Inc.COM10,090$73.0K<0.1%History
VISNVistance Networks, Inc.COM11,083$68.0K<0.1%History
MTTRMatterport, Inc.COM CL A13,550$50.0K<0.1%History
VRNSVaronis Systems IncCOM1,589$47.0K<0.1%History
Atlas Air Worldwide Hldgs IN049164BJ4NOTE 1.875% 6/035,000$41.0K<0.1%–
TELLTellurian Inc.COM13,500$40.0K<0.1%History
Workday, Inc.98138HAF8NOTE 0.250%10/026,000$27.0K<0.1%–
Marriott Vactins Worldwid Co57164YAB3NOTE 1.500% 9/117,000$17.0K<0.1%–