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Livermore
Livermore
ZHEN

Stephens Inc

SEC CIK
0000757657
Latest filing
Jul 29, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 15, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
1,191
+22 vs. Q4 2022
Portfolio value
$5.21B
+$331.7M (+6.8%) vs. Q4 2022
Filed
May 15, 2023
SEC
Holdings of Stephens Inc in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
LOGCContextLogic Inc.COM CL A232,866$103.8K<0.1%−14,282−5.8%ReducedHistory
Cyberark Software LtdM2682V108SHS702$103.9K<0.1%+22+3.2%Added–
NUVANuvasive IncCOM2,534$104.7K<0.1%+219+9.5%AddedHistory
BBDCBarings BDC, Inc.COM13,446$106.8K<0.1%+2,000+17.5%AddedHistory
MODNModel N, Inc.COM3,207$107.3K<0.1%+3+0.1%AddedHistory
CGNTCognyte Software Ltd.ORD SHS32,750$111.0K<0.1%−6,200−15.9%ReducedHistory
HALOHalozyme Therapeutics, Inc.COM2,922$111.6K<0.1%+23+0.8%AddedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS12,655$112.0K<0.1%−50−0.4%ReducedHistory
OKTAOkta, Inc.CL A1,342$115.7K<0.1%+1,342NewHistory
ICLICL Group Ltd.SHS17,500$119.0K<0.1%00.0%UnchangedHistory
FCNFti Consulting, IncCOM621$122.6K<0.1%+621NewHistory
MRCCMonroe Capital CorpCOM16,263$124.4K<0.1%−3,656−18.4%ReducedHistory
GELGenesis Energy LPUNIT LTD PARTN11,162$125.7K<0.1%−281−2.5%ReducedHistory
NMFCNew Mountain Finance CorpCOM10,500$127.8K<0.1%00.0%UnchangedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER15,375$128.2K<0.1%00.0%UnchangedHistory
LGNDLigand Pharmaceuticals IncCOM NEW1,788$131.5K<0.1%+5+0.3%AddedHistory
SMHISEACOR Marine Holdings Inc.COM17,531$133.4K<0.1%+17,531NewHistory
ESRTEmpire State Realty Trust, Inc.CL A20,711$134.4K<0.1%−674−3.2%ReducedHistory
RVLVRevolve Group, Inc.CL A5,228$137.5K<0.1%−554−9.6%ReducedHistory
COTYCoty Inc.COM CL A11,431$137.9K<0.1%−657−5.4%ReducedHistory
BCPCBalchem CorpCOM1,108$140.1K<0.1%+30+2.8%AddedHistory
PAGPPlains GP Holdings LPLTD PARTNR INT A10,729$140.8K<0.1%−266−2.4%ReducedHistory
STEWSRH Total Return Fund, Inc.COM11,583$142.2K<0.1%00.0%UnchangedHistory
NGLNGL Energy Partners LPCOM UNIT REPST50,000$145.0K<0.1%+50,000NewHistory
PSECProspect Capital CorpCOM20,917$145.6K<0.1%00.0%UnchangedHistory
AALAmerican Airlines Group Inc.Stock10,099$149.0K<0.1%−7,500−42.6%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT16,700$154.1K<0.1%+4,000+31.5%AddedHistory
SMFGSumitomo Mitsui Financial Group, Inc.SPONSORED ADR19,562$156.5K<0.1%−3,242−14.2%ReducedHistory
PRPermian Resources CorpCLASS A COM15,000$157.5K<0.1%00.0%UnchangedHistory
HQLabrdn Life Sciences InvestorsSH BEN INT11,407$158.9K<0.1%−2,518−18.1%ReducedHistory
DECKDeckers Outdoor CorpCOM355$159.6K<0.1%+34+10.6%AddedHistory
AVAVAeroVironment IncCOM1,742$159.7K<0.1%+63+3.8%AddedHistory
VNOMViper Energy, Inc.COM UNT RP INT5,746$160.9K<0.1%+33+0.6%AddedHistory
Advisorshares Tr00768Y453PURE US CANN ETF28,300$161.0K<0.1%+10,000+54.6%Added–
PROPROS Holdings, Inc.COM6,055$165.9K<0.1%+1,496+32.8%AddedHistory
WUWestern Union COStock14,882$165.9K<0.1%−1,835−11.0%ReducedHistory
USALiberty All Star Equity FundSH BEN INT26,843$166.4K<0.1%−36,680−57.7%ReducedHistory
TERTeradyne, IncStock1,552$166.9K<0.1%+84+5.7%AddedHistory
SWNSouthwestern Energy CoCOM33,372$166.9K<0.1%+710+2.2%AddedHistory
BOXBox IncCL A6,307$169.0K<0.1%+5+0.1%AddedHistory
FTITechnipFMC plcCOM12,547$171.3K<0.1%+8,126+183.8%AddedHistory
Yamana Gold Inc98462Y100COM29,761$174.1K<0.1%00.0%Unchanged–
BGTBlackRock Floating Rate Income TrustCOM16,095$180.4K<0.1%+1,000+6.6%AddedHistory
PRAAPra Group IncCOM4,642$180.9K<0.1%+17+0.4%AddedHistory
EXELExelixis, Inc.COM9,356$181.6K<0.1%+310+3.4%AddedHistory
RITMRithm Capital Corp.REIT22,984$183.9K<0.1%−211−0.9%ReducedHistory
BFAMBright Horizons Family Solutions Inc.COM2,416$186.0K<0.1%+550+29.5%AddedHistory
HSICHenry Schein IncCOM2,307$188.1K<0.1%+54+2.4%AddedHistory
NEONeogenomics IncCOM NEW10,858$189.0K<0.1%−900−7.7%ReducedHistory
TEITempleton Emerging Markets Income FundCOM37,506$190.2K<0.1%−662−1.7%ReducedHistory
SDCSmileDirectClub, Inc.CL A COM444,172$191.0K<0.1%−27,036−5.7%ReducedHistory
CHEFChefs' Warehouse, Inc.COM5,651$192.4K<0.1%−469−7.7%ReducedHistory
FIVNFive9, Inc.COM2,667$192.8K<0.1%+380+16.6%AddedHistory
HSTHost Hotels & Resorts, Inc.COM11,847$195.4K<0.1%+50.0%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM14,537$197.3K<0.1%−801−5.2%ReducedHistory
DKNGDraftKings Inc.Stock10,357$200.5K<0.1%−94−0.9%ReducedHistory
MTCHMatch Group, Inc.COM5,243$201.3K<0.1%−646−11.0%ReducedHistory
Pacer FDS Tr69374H766INDUSTRIAL RELET4,970$201.3K<0.1%+4,970New–
BIOBio-Rad Laboratories, Inc.CL A421$201.7K<0.1%+421NewHistory
Global X FDS37954Y624AUTONMOUS EV ETF8,470$201.9K<0.1%+8,470New–
EMOClearBridge Energy Midstream Opportunity Fund Inc.COM7,151$201.9K<0.1%+7+0.1%AddedHistory
WGOWinnebago Industries IncCOM3,500$201.9K<0.1%+3,500NewHistory
POOLPool CorpCOM597$204.4K<0.1%+61+11.4%AddedHistory
FLRFluor CorpStock6,625$204.8K<0.1%+6,625NewHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF3,963$205.0K<0.1%−627−13.7%Reduced–
BCSBarclays PLCADR28,535$205.2K<0.1%+6,394+28.9%AddedHistory
EXASExact Sciences CorpCOM3,041$206.2K<0.1%+3,041NewHistory
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC2,800$206.3K<0.1%00.0%Unchanged–
OLNOLIN CorpStock3,719$206.4K<0.1%−169−4.3%ReducedHistory
OVLYOak Valley BancorpCOM8,762$207.3K<0.1%+8,762NewHistory
HEIHeico CorpCOM1,213$207.5K<0.1%+1,213NewHistory
KIOKKR Income Opportunities FundCOM18,903$207.6K<0.1%00.0%UnchangedHistory
DOCSDoximity, Inc.CL A6,416$207.8K<0.1%+6,416NewHistory
iShares Tr46434V4070-5YR HI YL CP5,001$208.4K<0.1%−383−7.1%Reduced–
NFGNational Fuel Gas CoStock3,619$209.0K<0.1%+3+0.1%AddedHistory
MPWRMonolithic Power Systems, Inc.COM418$209.2K<0.1%+418NewHistory
Flagstar Bank, National Association649445103COM23,166$209.4K<0.1%−633−2.7%Reduced–
XELXcel Energy IncStock3,107$209.5K<0.1%−191−5.8%ReducedHistory
PBPBPotbelly CorpCOM25,185$209.8K<0.1%00.0%UnchangedHistory
CONNConns IncCOM34,813$211.0K<0.1%+1,900+5.8%AddedHistory
ADCAgree Realty CorpCOM3,094$212.3K<0.1%+10.0%AddedHistory
First Tr Exchange-Traded FD33739Q507SSI STRG ETF6,670$212.8K<0.1%−1,240−15.7%Reduced–
UGIUgi CorpStock6,128$213.0K<0.1%00.0%UnchangedHistory
iShares Tr464288588MBS ETF2,258$213.9K<0.1%+2,258New–
CSLCarlisle Companies IncCOM949$214.5K<0.1%+1+0.1%AddedHistory
ETF Managers Tr26924G201PRIME CYBR SCRTY4,491$214.8K<0.1%+4,491New–
DOLEDole plcORD SHS18,306$214.9K<0.1%+32+0.2%AddedHistory
FIVEFive Below, IncCOM1,044$215.0K<0.1%+73+7.5%AddedHistory
SRPTSarepta Therapeutics, Inc.COM1,562$215.3K<0.1%00.0%UnchangedHistory
DCIDonaldson Co IncStock3,298$215.5K<0.1%−280−7.8%ReducedHistory
ROADConstruction Partners, Inc.COM CL A8,000$215.5K<0.1%00.0%UnchangedHistory
CSQCalamos Strategic Total Return FundCOM SH BEN INT15,400$215.6K<0.1%00.0%UnchangedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM18,345$215.7K<0.1%+1,507+8.9%AddedHistory
ITTItt Inc.COM2,519$217.4K<0.1%00.0%UnchangedHistory
NXPINXP Semiconductors N.V.COM1,167$217.6K<0.1%−245−17.4%ReducedHistory
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG11,348$217.7K<0.1%+11,348New–
ZIMZIM Integrated Shipping Services Ltd.SHS9,250$218.1K<0.1%+9,250NewHistory
NOANorth American Construction Group Ltd.COM13,139$219.4K<0.1%00.0%UnchangedHistory
GGenpact LTDSHS4,749$219.5K<0.1%+4,749NewHistory
HNVRHanover Bancorp, Inc.COM NEW12,198$219.6K<0.1%+18+0.1%AddedHistory

Sold out since Q4 2022 (70)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of Stephens Inc sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
iShares Tr46434V1000-5YR INVT GR CP129,270$6.19M0.1%–
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX206,077$3.52M0.1%–
First Tr Exchange-Traded FD33733E807NAT GAS ETF143,412$3.52M0.1%–
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF109,134$3.23M0.1%–
WRKWestRock CoCOM87,115$3.06M0.1%History
ACGLArch Capital Group Ltd.Stock45,470$2.85M0.1%History
TRTNTriton International LtdCL A31,498$2.17M<0.1%History
BBYBest Buy Co IncStock19,621$1.57M<0.1%History
TALOTalos Energy Inc.COM58,894$1.11M<0.1%History
American Elec PWR Co Inc02557T307UNIT 08/15/202520,165$1.04M<0.1%–
AES Corp00130H204UNIT 99/99/99998,904$908.3K<0.1%–
THQabrdn Healthcare Opportunities FundSHS43,950$870.6K<0.1%History
PPLTabrdn Platinum ETF TrustPHYSCL PLATM SHS7,375$732.2K<0.1%History
Nextera Energy Inc65339F713UNIT 09/01/202513,750$690.1K<0.1%–
SLVOCredit Suisse AGETRA SILV SHS CO7,780$687.8K<0.1%History
SPDR Series Trust78464A656ST STR TIPS ETF25,607$659.6K<0.1%–
SBLKStar Bulk Carriers Corp.SHS PAR33,262$639.6K<0.1%History
Algonquin PWR Utils Corp015857873UNIT 99/99/999922,745$542.9K<0.1%–
FGF&G Annuities & Life, Inc.COMMON STOCK26,354$527.3K<0.1%History
BANRBanner CorpCOM NEW8,190$517.6K<0.1%History
DVDoubleVerify Holdings, Inc.COM21,844$479.7K<0.1%History
DNOWDNOW Inc.COM37,500$476.3K<0.1%History
OSWOnespaworld Holdings LtdCOM50,317$469.5K<0.1%History
XPOXPO, Inc.COM14,053$467.8K<0.1%History
FFIVF5, Inc.Stock2,532$363.4K<0.1%History
HTGCHercules Capital, Inc.COM26,150$345.7K<0.1%History
FSBCFive Star BancorpCOM12,450$339.1K<0.1%History
CMSCMS Energy CorpCOM5,314$336.5K<0.1%History
HUBBHubbell IncCOM1,373$322.1K<0.1%History
WisdomTree Tr97717W802ITL HIGH DIV FD8,700$312.1K<0.1%–
Signature BK New York N Y82669G104COM2,565$295.5K<0.1%–
STWDStarwood Property Trust, Inc.COM15,404$282.4K<0.1%History
JJacobs Solutions Inc.COM2,181$261.9K<0.1%History
Invesco Exchange Traded FD T46137V878DORSEY WRGT ENRG6,039$261.1K<0.1%–
CUBECubeSmartREIT6,308$253.9K<0.1%History
Invesco Exch Traded FD Tr II46138E362S&P500 HDL VOL5,743$251.7K<0.1%–
TSLXSixth Street Specialty Lending, Inc.COM14,025$249.6K<0.1%History
Vanguard Industrials ETF92204A603ETF1,358$248.0K<0.1%–
INVHInvitation Homes Inc.COM8,355$247.6K<0.1%History
JDJD.com, Inc.SPON ADS CL A4,302$241.5K<0.1%History
LNCLincoln National CorpCOM7,846$241.0K<0.1%History
BENFranklin Templeton IncCOM9,003$237.5K<0.1%History
ARLPAlliance Resource Partners LPStock11,257$228.7K<0.1%History
CETCentral Securities CorpCOM6,770$226.1K<0.1%History
WALWestern Alliance BancorporationCOM3,748$223.2K<0.1%History
ATOAtmos Energy CorpCOM1,992$223.2K<0.1%History
Boston Scientific Corp1011372065.50% CNV PFD A1,935$222.2K<0.1%–
HRBH&R Block IncCOM6,000$219.1K<0.1%History
CADECadence BancorporationEQUITY US CM8,865$218.6K<0.1%History
GATXGatx CorpCOM2,046$217.6K<0.1%History
CNPCenterpoint Energy IncCOM7,244$217.2K<0.1%History
Nextera Energy Inc65339F770UNIT 99/99/99994,246$215.3K<0.1%–
MTBM&T Bank CorpCOM1,482$215.0K<0.1%History
ARWArrow Electronics, Inc.COM2,028$212.1K<0.1%History
BDX 6 06/01/23 Pfd075887406CONVERTIBLE PREFERRED STOCK4,225$211.6K<0.1%–
Simplify Exchange Traded Fun82889N855SIMPLIFY INTERST2,908$208.2K<0.1%–
APAAPA CorpStock4,453$207.9K<0.1%History
Global X FDS37954Y830GLOBAL X COPPER5,760$204.1K<0.1%–
MPTMedical Properties Trust IncCOM12,577$140.1K<0.1%History
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM10,859$117.9K<0.1%History
MNKDMannkind CorpCOM NEW15,527$81.8K<0.1%History
OCSLOaktree Specialty Lending CorpCOM11,606$79.7K<0.1%History
LESLLeslie's, Inc.COM6,277$76.6K<0.1%History
QTWOQ2 Holdings, Inc.COM2,506$67.3K<0.1%History
ICMBInvestcorp Credit Management BDC, Inc.COM12,180$42.9K<0.1%History
DISH Network CORP25470MAB5NOTE 3.375% 8/168,000$42.6K<0.1%–
Patrick Inds Inc703343AB9DBCV 1.000% 2/035,000$34.7K<0.1%–
USXUS Xpress Enterprises IncCOM CL A10,150$18.4K<0.1%History
BNSBank of Nova ScotiaCOM15,000$14.7K<0.1%History
UPWheels Up Experience Inc.COMMON STOCK12,000$12.4K<0.1%History