Skip to main content
Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q4 2021

Holdings as of Dec 31, 2021, filed Jan 31, 2022. Long positions only; changes compare share counts with Q3 2021.

Institution overview
Positions
1,264
+55 vs. Q3 2021
Portfolio value
$9.38B
+$764.8M (+8.9%) vs. Q3 2021
Filed
Jan 31, 2022
SEC
Holdings of D.A. Davidson & Co. in Q4 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
UAMYUnited States Antimony CorpCOM10,320$5.00K<0.1%00.0%UnchangedHistory
TLPHTalphera, Inc.COM13,500$8.00K<0.1%00.0%UnchangedHistory
BlackRock Cap Invt Corp092533AC2NOTE 5.000% 6/1–$10.0K<0.1%–––
TWAVTaoWeave, Inc.COM10,000$10.0K<0.1%+10,000NewHistory
New York Mtg Tr Inc649604AD7NOTE 6.250% 1/1–$13.0K<0.1%–––
Atlas Air Worldwide Hldgs IN049164BH8NOTE 2.250% 6/0–$20.0K<0.1%–––
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$22.0K<0.1%–––
TOONKartoon Studios, Inc.COM26,398$28.0K<0.1%00.0%UnchangedHistory
NGLNGL Energy Partners LPCOM UNIT REPST19,643$36.0K<0.1%+2,713+16.0%AddedHistory
VVRInvesco Senior Income TrustCOM10,000$43.0K<0.1%00.0%UnchangedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS16,800$43.0K<0.1%00.0%UnchangedHistory
CYPHCypherpunk Technologies Inc.COM13,500$44.0K<0.1%00.0%UnchangedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT19,563$47.0K<0.1%00.0%UnchangedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM12,954$49.0K<0.1%+56+0.4%AddedHistory
QTNTQuotient LtdSHS20,000$52.0K<0.1%00.0%UnchangedHistory
ONCSOncosec Medical IncCOM57,500$55.0K<0.1%−51,000−47.0%ReducedHistory
ARTWArts Way Manufacturing Co IncCOM19,527$69.0K<0.1%00.0%UnchangedHistory
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$70.0K<0.1%–––
VLTAVolta Inc.COM CL A10,100$74.0K<0.1%+10,100NewHistory
TELLTellurian Inc.COM25,300$78.0K<0.1%+13,300+110.8%AddedHistory
NAGENiagen Bioscience, Inc.COM NEW21,000$79.0K<0.1%−2,000−8.7%ReducedHistory
MUFGMitsubishi Ufj Financial Group IncSPONSORED ADS16,450$90.0K<0.1%00.0%UnchangedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$90.0K<0.1%–New–
SVCService Properties TrustCOM SH BEN INT11,639$102.0K<0.1%+553+5.0%AddedHistory
Osi Systems Inc671044AD7NOTE 1.250% 9/0–$102.0K<0.1%–––
IMBILegacy IMBDS, Inc.COM CL A17,518$105.0K<0.1%+17,518NewHistory
SIRISirius XM Holdings Inc.COM16,591$105.0K<0.1%−4,600−21.7%ReducedHistory
SWNSouthwestern Energy CoCOM23,047$107.0K<0.1%00.0%UnchangedHistory
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$111.0K<0.1%–New–
PCKPIMCO California Municipal Income Fund IICOM12,073$113.0K<0.1%−1,706−12.4%ReducedHistory
GALTGalectin Therapeutics IncCOM NEW55,310$114.0K<0.1%−2,000−3.5%ReducedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$117.0K<0.1%–––
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$118.0K<0.1%–––
Insight Enterprises Inc45765UAB9NOTE 0.750% 2/1–$119.0K<0.1%–––
PRQRProQR Therapeutics N.V.SHS EURO15,772$126.0K<0.1%+15,772NewHistory
Flagstar Bank, National Association649445103COM10,367$127.0K<0.1%+10,367New–
VETVermilion Energy Inc.COM10,256$129.0K<0.1%+10,256NewHistory
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$139.0K<0.1%–New–
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT11,000$142.0K<0.1%−7,500−40.5%ReducedHistory
Nuvasive Inc670704AJ4NOTE 0.375% 3/1–$143.0K<0.1%–––
PAAPlains All American Pipeline LPUNIT LTD PARTN15,595$146.0K<0.1%−2,197−12.3%ReducedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$152.0K<0.1%–New–
Stride, Inc.86333MAA6NOTE 1.125% 9/0–$155.0K<0.1%–New–
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$155.0K<0.1%–––
LMNRLimoneira COCOM10,455$157.0K<0.1%00.0%UnchangedHistory
QSIQuantum-Si IncCOM CL A20,000$157.0K<0.1%+20,000NewHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,500$158.0K<0.1%00.0%UnchangedHistory
CWCOConsolidated Water Co. Ltd.ORD14,957$159.0K<0.1%+57+0.4%AddedHistory
Meritor, Inc.59001KAF7NOTE 3.250%10/1–$163.0K<0.1%–––
NCANuveen California Municipal Value FundCOM STK16,182$164.0K<0.1%+16,182NewHistory
FTFFranklin Ltd Duration Income TrustCOM19,655$165.0K<0.1%00.0%UnchangedHistory
AGNCAGNC Investment Corp.REIT11,137$168.0K<0.1%+392+3.6%AddedHistory
PAGPPlains GP Holdings LPLTD PARTNR INT A16,579$168.0K<0.1%+16,579NewHistory
Parsons Corp70202LAB8NOTE 0.250% 8/1–$169.0K<0.1%–New–
Fidelity MSCI Energy Index ETF316092402ETF11,267$171.0K<0.1%+61+0.5%Added–
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS21,613$173.0K<0.1%−2,109−8.9%ReducedHistory
First BK Williamstown New Je31931U102COM11,894$173.0K<0.1%00.0%Unchanged–
HBIHanesbrands Inc.COM10,644$178.0K<0.1%−38,095−78.2%ReducedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS19,442$182.0K<0.1%+4,029+26.1%AddedHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT10,994$182.0K<0.1%+924+9.2%Added–
NIDNuveen Intermediate Duration Municipal Term FundCOM12,215$182.0K<0.1%+12,215NewHistory
LFGArchaea Energy Inc.COM CL A10,000$183.0K<0.1%00.0%UnchangedHistory
VKQInvesco Municipal TrustCOM14,449$194.0K<0.1%−947−6.2%ReducedHistory
DGDollar General CorpCOM850$200.0K<0.1%+850NewHistory
HTOH2O AmericaCOM2,738$200.0K<0.1%+2,738NewHistory
Invesco Exch Traded FD Tr II46138E875DORSEY WRGT DVLP5,014$202.0K<0.1%−756−13.1%Reduced–
KYNKayne Anderson Energy Infrastructure Fund, Inc.COM25,922$202.0K<0.1%−4,974−16.1%ReducedHistory
CHYCalamos Convertible & High Income FundCOM SHS12,520$203.0K<0.1%+12,520NewHistory
CLRContinental Resources, IncCOM4,527$203.0K<0.1%−3,268−41.9%ReducedHistory
MAINMain Street Capital CORPCEF4,556$204.0K<0.1%+4,556NewHistory
State Street Utilities Select Sector SPDR ETF81369Y886ETF2,848$204.0K<0.1%+2,848New–
NDSNNordson CorpCOM800$204.0K<0.1%+800NewHistory
EGPEastgroup Properties IncCOM900$204.0K<0.1%+900NewHistory
LUMNLumen Technologies, Inc.Stock16,330$205.0K<0.1%+32+0.2%AddedHistory
WDAYWorkday, Inc.CL A752$205.0K<0.1%+752NewHistory
iShares Tr46435G268RUSEL 2500 ETF3,094$205.0K<0.1%+3,094New–
iShares Tr464287770U.S. FIN SVC ETF1,062$205.0K<0.1%+1,062New–
iShares Tr464288158SHRT NAT MUN ETF1,921$206.0K<0.1%−3−0.2%Reduced–
MPWRMonolithic Power Systems, Inc.COM418$206.0K<0.1%−120−22.3%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM21,183$206.0K<0.1%+191+0.9%AddedHistory
DFSDiscover Financial ServicesCOM1,783$206.0K<0.1%+1,783NewHistory
Invesco Exch Traded FD Tr II46138E628KBW BK ETF3,045$207.0K<0.1%−825−21.3%Reduced–
BLBlackline, Inc.COM2,000$207.0K<0.1%00.0%UnchangedHistory
ALECAlector, Inc.COM10,000$207.0K<0.1%−5,000−33.3%ReducedHistory
ELSEquity Lifestyle Properties IncCOM2,378$208.0K<0.1%+2,378NewHistory
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE3,380$209.0K<0.1%+3,380New–
CHRWC. H. Robinson Worldwide, Inc.COM NEW1,950$210.0K<0.1%+1,950NewHistory
MTBM&T Bank CorpCOM1,370$210.0K<0.1%+1,370NewHistory
UGIUgi CorpStock4,594$211.0K<0.1%+4,594NewHistory
UCTTUltra Clean Holdings, Inc.COM3,715$213.0K<0.1%+3,715NewHistory
GELGenesis Energy LPUNIT LTD PARTN19,919$213.0K<0.1%+866+4.5%AddedHistory
CAMTCamtek LtdORD4,629$213.0K<0.1%+4,629NewHistory
VACMarriott Vacations Worldwide CorpCOM1,264$214.0K<0.1%+1,264NewHistory
WIREEncore Wire CorpCOM1,492$214.0K<0.1%+1,492NewHistory
HIIHuntington Ingalls Industries, Inc.COM1,151$215.0K<0.1%+1+0.1%AddedHistory
LBRDKLiberty Broadband CorpCOM SER C1,343$216.0K<0.1%+38+2.9%AddedHistory
WCNWaste Connections, Inc.COM1,590$217.0K<0.1%00.0%UnchangedHistory
HLTHilton Worldwide Holdings Inc.COM1,388$217.0K<0.1%+1,388NewHistory
LYGLloyds Banking Group plcSPONSORED ADR86,000$219.0K<0.1%−70,000−44.9%ReducedHistory
PEverpure, Inc.CL A6,741$219.0K<0.1%+6,741NewHistory

Sold out since Q3 2021 (69)

Positions held at the end of Q3 2021 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q3 2021
SecurityClassShares in Q3 2021Value in Q3 2021% of portfolio in Q3 2021History
KSUKansas City SouthernCOM NEW23,497$6.36M0.1%History
iShares Tr46434VBK5IBONDS DEC21 ETF203,793$5.04M0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS97,160$2.05M<0.1%History
LPROOpen Lending CorpCOM56,669$2.04M<0.1%History
RPAYRepay Holdings CorpCOM CL A85,969$1.98M<0.1%History
iShares Tr46429B671MSCI CHINA ETF18,004$1.22M<0.1%–
Nuveen Corporate Incm Noveme67077N106COM95,524$896.0K<0.1%–
FSTFAST Acquisition Corp.COM CL A62,664$796.0K<0.1%History
PAGSPagSeguro Digital Ltd.COM CL A13,856$717.0K<0.1%History
ALTAAltabancorpCOM15,800$698.0K<0.1%History
Dimensional Emerging Core Equity Market ETF25434V302ETF23,050$628.0K<0.1%–
Invesco Actvely MNGD Etc FD46090F100OPTIMUM YIELD26,496$558.0K<0.1%–
WWayfair Inc.CL A2,147$549.0K<0.1%History
iShares Tr46435G789IBONDS DEC202121,475$549.0K<0.1%–
VanEck ETF Trust92189F486IG FLOA RATE ETF19,500$495.0K<0.1%–
CLDRCloudera, Inc.COM24,850$397.0K<0.1%History
LMNDLemonade, Inc.Stock5,443$365.0K<0.1%History
SRCE1st Source CorpCOM7,468$353.0K<0.1%History
CMAComerica IncCOM4,325$348.0K<0.1%History
Kraneshares Trust500767306CSI CHI INTERNET7,140$338.0K<0.1%–
RGENRepligen CorpCOM1,160$335.0K<0.1%History
CoreSite Realty Corp21870Q105COM2,416$335.0K<0.1%–
iShares Tr46432F388MSCI USA VALUE3,286$331.0K<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT2,942$329.0K<0.1%History
iShares Inc46434G863ESG AWR MSCI EM7,910$328.0K<0.1%–
EVBGEverbridge, Inc.COM2,150$325.0K<0.1%History
PBProsperity Bancshares IncCOM4,480$319.0K<0.1%History
LTCLTC Properties IncREIT9,606$304.0K<0.1%History
Nushares ETF Tr67092P201NUVEEN ESG LRGCP4,596$301.0K<0.1%–
LPSNLiveperson IncCOM5,055$298.0K<0.1%History
iShares Tr464288877EAFE VALUE ETF5,747$292.0K<0.1%–
DBXDropbox, Inc.CL A9,895$289.0K<0.1%History
Nuveen Tax-Advantaged Divid67073G105COM18,251$289.0K<0.1%–
ARK ETF Tr00214Q302GENOMIC REV ETF3,822$286.0K<0.1%–
ENPHEnphase Energy, Inc.Stock1,886$283.0K<0.1%History
HFCHollyFrontier CorpCOM8,208$272.0K<0.1%History
EVREvercore Inc.CLASS A2,006$268.0K<0.1%History
Listed FD Tr53656F615CABOT GROWTH ETF10,507$263.0K<0.1%–
Invesco Exch Traded FD Tr II46138E206CALIF AMT MUN9,423$261.0K<0.1%–
Amplify Blockchain Technology ETF032108607ETF5,679$254.0K<0.1%–
OZKBank OZKCOM5,890$253.0K<0.1%History
DELLDell Technologies Inc.Stock2,365$246.0K<0.1%History
HDBHDFC Bank LtdSPONSORED ADS3,293$241.0K<0.1%History
iShares Inc464286400MSCI BRAZIL ETF7,100$228.0K<0.1%–
AYXAlteryx, Inc.COM CL A3,104$227.0K<0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB10,731$226.0K<0.1%History
PAGPenske Automotive Group, Inc.COM2,200$221.0K<0.1%History
HCI Group, Inc.40416EAD5NOTE 4.250% 3/0–$221.0K<0.1%–
iShares Tr46435U432IBONDS DEC 257,900$221.0K<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF4,543$220.0K<0.1%–
EDITEditas Medicine, Inc.COM5,315$218.0K<0.1%History
ATHMAutohome Inc.SP ADS RP CL A4,582$215.0K<0.1%History
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM8,000$213.0K<0.1%History
Cyberark Software LtdM2682V108SHS1,345$212.0K<0.1%–
PTONPeloton Interactive, Inc.CL A COM2,384$208.0K<0.1%History
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,315$205.0K<0.1%–
Managed Portfolio Series56167N720TORTOISE NRAM PI9,250$202.0K<0.1%–
UNITUniti Group Inc.COM13,795$171.0K<0.1%History
Atlas Air Worldwide Hldgs IN049164BJ4NOTE 1.875% 6/0–$145.0K<0.1%–
Pacira BioSciences, Inc.695127AD2NOTE 2.375% 4/0–$126.0K<0.1%–
VOXXVOXX International CorpCL A11,000$126.0K<0.1%History
OROR Royalties Inc.COM10,000$112.0K<0.1%History
Coherus Biosciences Inc19249HAB9NOTE 1.500% 4/1–$110.0K<0.1%–
MTRXMatrix Service CoCOM10,121$106.0K<0.1%History
SPRUSpruce Power Holding CorpCOM CL A15,100$93.0K<0.1%History
VKTXViking Therapeutics, Inc.COM12,500$79.0K<0.1%History
Hope Bancorp Inc43940TAB5NOTE 2.000% 5/1–$79.0K<0.1%–
DHCDiversified Healthcare TrustCOM SH BEN INT10,725$36.0K<0.1%History
Angel Oak Finl Strategies IN03464A118RIGHT 10/14/202182,083$18.0K<0.1%–