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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Feb 3, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
1,301
+32 vs. Q3 2022
Portfolio value
$8.48B
+$842.8M (+11.0%) vs. Q3 2022
Filed
Feb 3, 2023
SEC
Holdings of D.A. Davidson & Co. in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
Quanergy Systems, Inc.74764U112*W EXP 02/01/20240,000$40<0.1%00.0%Unchanged–
TWAVTaoWeave, Inc.COM10,000$1.18K<0.1%00.0%UnchangedHistory
RDHLRedHill Biopharma Ltd.SPONSORED ADS10,500$1.47K<0.1%00.0%UnchangedHistory
LITSLite Strategy, Inc.COM NEW10,000$2.44K<0.1%00.0%UnchangedHistory
VTGNVistagen Therapeutics, Inc.COM NEW66,500$6.85K<0.1%00.0%UnchangedHistory
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$10.1K<0.1%00.0%UnchangedHistory
HUTHut 8 Corp.Common Stock11,950$10.2K<0.1%−3,500−22.7%ReducedHistory
TOONKartoon Studios, Inc.COM26,398$12.3K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$19.9K<0.1%–––
OPENOpendoor Technologies Inc.COM18,000$20.9K<0.1%00.0%UnchangedHistory
ELBMElectra Battery Materials CorpCOM NEW13,667$22.7K<0.1%00.0%UnchangedHistory
ATYRaTYR PHARMA INCCOM NEW12,800$28.0K<0.1%+1,000+8.5%AddedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM11,334$29.8K<0.1%+104+0.9%AddedHistory
SACHSachem Capital Corp.COM10,130$33.4K<0.1%+10,130NewHistory
NGLNGL Energy Partners LPCOM UNIT REPST28,525$34.5K<0.1%−126−0.4%ReducedHistory
RIOTRiot Platforms, Inc.COM10,450$35.4K<0.1%+10,450NewHistory
GALTGalectin Therapeutics IncCOM NEW32,810$37.1K<0.1%00.0%UnchangedHistory
PBIPitney Bowes IncCOM11,707$44.5K<0.1%00.0%UnchangedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM12,994$51.3K<0.1%00.0%UnchangedHistory
TLSTelos CorpCOM12,011$61.1K<0.1%−6,815−36.2%ReducedHistory
WWWW International, Inc.COM15,950$61.6K<0.1%−4,400−21.6%ReducedHistory
UAMYUnited States Antimony CorpCOM135,343$65.9K<0.1%00.0%UnchangedHistory
Air Transport Services Grp I00922RAB1NOTE 1.125%10/1–$78.0K<0.1%–––
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT10,100$78.8K<0.1%00.0%UnchangedHistory
TripAdvisor, Inc.896945AD4NOTE 0.250% 4/0–$79.8K<0.1%–––
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$80.7K<0.1%–––
ERICEricsson LM Telephone CoADR B SEK 1014,000$81.8K<0.1%−159−1.1%ReducedHistory
PCKPIMCO California Municipal Income Fund IICOM12,073$82.0K<0.1%00.0%UnchangedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$82.1K<0.1%–––
Haemonetics Corp Mass405024AB6NOTE 3/0–$82.7K<0.1%–––
Imax Corp45245EAJ8NOTE 0.500% 4/0–$84.4K<0.1%–––
NSLNuveen Senior Income FundCOM18,522$85.0K<0.1%−555−2.9%ReducedHistory
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$87.6K<0.1%–––
LUMNLumen Technologies, Inc.Stock17,294$90.3K<0.1%−3,422−16.5%ReducedHistory
OXLCOxford Lane Capital Corp.COM18,412$93.4K<0.1%+18,412NewHistory
Vishay Intertechnology Inc928298AP3NOTE 2.250% 6/1–$97.1K<0.1%–––
GUTGabelli Utility TrustCOM13,098$98.4K<0.1%+2,754+26.6%AddedHistory
Macom Tech Solutions Hldgs I55405YAB6NOTE 0.250% 3/1–$98.9K<0.1%–––
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$99.3K<0.1%–––
IMBILegacy IMBDS, Inc.COM CL A155,808$99.7K<0.1%−1,891−1.2%ReducedHistory
SIRISirius XM Holdings Inc.COM17,335$101.2K<0.1%+100+0.6%AddedHistory
CCIFCarlyle Credit Income FundSHS BEN INT11,799$102.8K<0.1%00.0%UnchangedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT28,630$103.9K<0.1%+8,311+40.9%AddedHistory
EPMEvolution Petroleum CorpCOM14,000$105.7K<0.1%+14,000NewHistory
AMRSAmyris, Inc.COM NEW69,833$106.8K<0.1%−14,009−16.7%ReducedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$107.2K<0.1%–––
NIMNuveen Select Maturities Municipal FundSH BEN INT11,878$107.6K<0.1%+66+0.6%AddedHistory
Lci Inds501812AB7NOTE 1.125% 5/1–$109.8K<0.1%–––
KAMAN Corp483548AF0NOTE 3.250% 5/0–$111.4K<0.1%–––
VOXXVOXX International CorpCL A13,900$116.5K<0.1%+2,000+16.8%AddedHistory
WEATTeucrium Commodity TrustWHEAT FD14,628$116.7K<0.1%−19,084−56.6%ReducedHistory
NVTAInvitae CorpCOM63,906$118.9K<0.1%−77−0.1%ReducedHistory
AGNTAGNT, Inc.COM10,808$119.8K<0.1%−52,203−82.8%ReducedHistory
BKCCBlackRock Capital Investment CorpCOM33,341$120.7K<0.1%−5,412−14.0%ReducedHistory
JRINuveen Real Asset Income & Growth FundCOM10,405$121.7K<0.1%−1,675−13.9%ReducedHistory
FPIFarmland Partners Inc.COM10,059$125.3K<0.1%+10,059NewHistory
NRTNorth European Oil Royalty TrustSH BEN INT10,000$126.9K<0.1%+10,000NewHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR11,916$126.9K<0.1%−17,987−60.2%ReducedHistory
FTFFranklin Ltd Duration Income TrustCOM20,555$127.8K<0.1%00.0%UnchangedHistory
Chegg, Inc163092AD1NOTE 0.125% 3/1–$128.0K<0.1%–––
InterDigital, Inc.45867GAB7NOTE 2.000% 6/0–$129.3K<0.1%–––
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$130.3K<0.1%–––
SLDPSolid Power, Inc.CLASS A COM51,426$130.6K<0.1%+17,880+53.3%AddedHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A26,336$134.8K<0.1%+26,336NewHistory
ETBEaton Vance Tax-Managed Buy-Write Income FundCOM10,320$135.7K<0.1%00.0%UnchangedHistory
FLWS1 800 Flowers Com IncCL A14,728$140.8K<0.1%+2,577+21.2%AddedHistory
VTRSViatris IncStock12,780$142.2K<0.1%−2,559−16.7%ReducedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT11,815$142.7K<0.1%−1,140−8.8%ReducedHistory
Guess Inc401617AD7NOTE 2.000% 4/1–$143.0K<0.1%–––
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$144.7K<0.1%–––
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$145.0K<0.1%–––
WUWestern Union COStock10,535$145.1K<0.1%+33+0.3%AddedHistory
ALTGAlta Equipment Group Inc.COMMON STOCK11,040$145.6K<0.1%−1,365−11.0%ReducedHistory
COOKTraeger, Inc.COMMON STOCK52,000$146.6K<0.1%00.0%UnchangedHistory
BYNDBeyond Meat, Inc.COM11,928$146.8K<0.1%−50−0.4%ReducedHistory
SOFISoFi Technologies, Inc.Stock32,340$149.1K<0.1%−1,772−5.2%ReducedHistory
Ford MTR Co Del345370CZ1NOTE 3/1–$150.4K<0.1%–––
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$151.4K<0.1%–––
BCATBlackRock Capital Allocation Term TrustCOM11,125$154.3K<0.1%−8,207−42.5%ReducedHistory
Nuveen Calif Select Tax Free67063R103SH BEN INT10,877$156.1K<0.1%00.0%Unchanged–
ESTEEarthstone Energy IncCL A11,158$158.8K<0.1%00.0%UnchangedHistory
PSTLPostal Realty Trust, Inc.CL A11,159$162.3K<0.1%00.0%UnchangedHistory
DMDesktop Metal, Inc.COM CL A120,000$163.2K<0.1%00.0%UnchangedHistory
SNAPSnap IncStock18,616$166.6K<0.1%−132−0.7%ReducedHistory
QSQuantumScape CorpCOM CL A29,398$166.7K<0.1%−5,434−15.6%ReducedHistory
IIMInvesco Value Municipal Income TrustCOM13,858$167.0K<0.1%−8,619−38.3%ReducedHistory
IGRCbre Global Real Estate Income FundCOM29,384$168.4K<0.1%−41,396−58.5%ReducedHistory
NPCTNuveen Core Plus Impact FundCOM BEN INT16,650$172.5K<0.1%+16,650NewHistory
MUCBlackRock Muniholdings California Quality Fund, Inc.CEF16,088$172.8K<0.1%−5,399−25.1%ReducedHistory
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$174.5K<0.1%–––
NMZNuveen Municipal High Income Opportunity FundCOM17,005$175.8K<0.1%−2,000−10.5%ReducedHistory
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT11,775$175.9K<0.1%00.0%UnchangedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM15,584$177.2K<0.1%−351−2.2%ReducedHistory
SKTTanger Inc.COM10,036$180.1K<0.1%+10,036NewHistory
HQHabrdn Healthcare InvestorsSH BEN INT10,146$182.6K<0.1%−257−2.5%ReducedHistory
Global X FDS37954Y483NASDAQ 100 COVER11,568$184.1K<0.1%−8,368−42.0%Reduced–
CGCCanopy Growth CorpCOM80,345$185.6K<0.1%−8,267−9.3%ReducedHistory
HPEHewlett Packard Enterprise CoCOM11,646$185.9K<0.1%−1,750−13.1%ReducedHistory
OSPNOneSpan Inc.COM16,611$185.9K<0.1%−636−3.7%ReducedHistory
CIIBlackRock Enhanced Large Cap Core Fund, Inc.COM11,074$189.6K<0.1%00.0%UnchangedHistory

Options (21)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of D.A. Davidson & Co. in Q4 2022
SecurityClassPutsCalls
RYRoyal Bank of CanadaStock$53.4K–
DDSDillard's, Inc.CL A$50.9K–
BMOBank of MontrealCOM$30.5K–
COFCapital One Financial CorpStock$29.1K–
EOGEOG Resources IncStock–$24.1K
ITWIllinois Tool Works IncStock$20.8K–
SNASnap-on IncCOM$18.6K–
MSFTMicrosoft CorpStock$18.3K–
UPSUnited Parcel Service IncStock$12.8K–
LOWLowes Companies IncStock$11.7K–
LSTRLandstar System IncCOM$6.98K–
iShares Inc464286806MSCI GERMANY ETF$6.97K–
BSMBlack Stone Minerals, L.P.COM UNIT–$6.60K
ETSYEtsy IncCOM$5.06K–
TDToronto Dominion BankStock$4.48K–
HDHome Depot, Inc.Stock$4.22K–
ORLYO Reilly Automotive IncStock$3.24K–
DEDeere & CoStock$2.23K–
NXHNeighborhood Intelligence, Inc.COM–$524
WEATTeucrium Commodity TrustWHEAT FD–$396
INTCIntel CorpStock–$5

Sold out since Q3 2022 (71)

Positions held at the end of Q3 2022 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
HTLFHeartland Financial USA IncCOM89,444$3.88M0.1%History
Swedish Expt CR Corp870297801ROG TTL ETN 22383,590$3.01M<0.1%–
PIMCO Active Bond Exchange-Traded Fund72201R775ETF32,947$2.96M<0.1%–
Legg Mason ETF Invt Tr524682101CLRBRG GWT ETF75,595$2.60M<0.1%–
iShares Tr46434VBA7IBONDS DEC22 ETF87,299$2.19M<0.1%–
ETF Managers Tr26924G102PRIME JUNIR SLVR196,214$1.79M<0.1%–
LFGArchaea Energy Inc.COM CL A71,885$1.29M<0.1%History
CEVACeva IncCOM35,788$939.0K<0.1%History
iShares Tr464288281JPMORGAN USD EMG10,560$838.0K<0.1%–
Invesco Exchange Traded FD T46137V316S&P500 EQL MAT5,883$838.0K<0.1%–
HCIHCI Group, Inc.COM21,310$835.0K<0.1%History
Invesco Actively Managed Exc46090A705S&P500 DOWNSID23,960$814.0K<0.1%–
TWTRTwitter, Inc.COM18,180$797.0K<0.1%History
FLRFluor CorpStock31,266$778.0K<0.1%History
First Tr Exchange Traded FD33738R308BUYWRIT INCM ETF39,799$735.0K<0.1%–
Goldman Sachs ETF Tr381430529ACCES TREASURY7,295$728.0K<0.1%–
ABBNYABB LtdSPONSORED ADR27,640$709.0K<0.1%History
COINCoinbase Global, Inc.COM CL A8,232$531.0K<0.1%History
iShares Tr46435G755IBONDS DEC202216,477$427.0K<0.1%–
MANManpowerGroup Inc.COM6,100$395.0K<0.1%History
GHGuardant Health, Inc.COM6,908$372.0K<0.1%History
Invesco Exch Traded FD Tr II46138E206CALIF AMT MUN16,000$371.0K<0.1%–
STEMStem, Inc.CL A27,700$370.0K<0.1%History
EXKEndeavour Silver CorpCOM119,000$359.0K<0.1%History
FVRRFiverr International Ltd.ORD SHS11,377$348.0K<0.1%History
DOXAmdocs LtdSHS4,147$329.0K<0.1%History
ROKURoku, IncCOM CL A5,417$306.0K<0.1%History
FORMFormfactor IncCOM12,015$301.0K<0.1%History
KBHKB HomeCOM11,330$294.0K<0.1%History
Vanguard Long-Term Treasury ETF92206C847ETF4,638$292.0K<0.1%–
APPNAppian CorpCL A7,085$289.0K<0.1%History
BAMBrookfield Asset Management Ltd.CL A LTD VT SH6,982$285.0K<0.1%History
IEAInfrastructure & Energy Alternatives, Inc.COM20,341$275.0K<0.1%History
TRUTransUnionCOM4,599$274.0K<0.1%History
CLRContinental Resources, IncCOM3,875$259.0K<0.1%History
SPDR Series Trust78468R556SP O&G EXPL PRO2,000$249.0K<0.1%–
IFNAberdeen India Fund, Inc.COM15,022$242.0K<0.1%History
ANDEAndersons, Inc.COM7,700$239.0K<0.1%History
RIVNRivian Automotive, Inc.Stock7,240$238.0K<0.1%History
MSIMotorola Solutions, Inc.Stock1,042$234.0K<0.1%History
ZBRAZebra Technologies CorpCL A887$232.0K<0.1%History
MHKMohawk Industries IncCOM2,528$231.0K<0.1%History
BAHBooz Allen Hamilton Holding CorpCL A2,444$226.0K<0.1%History
First Tr Exchange-Traded FD33736Q104UT COM SHS ETF4,491$226.0K<0.1%–
SQMChemical & Mining Co of Chile IncSPON ADR SER B2,482$225.0K<0.1%History
ECOMChanneladvisor CorpCOM9,909$225.0K<0.1%History
TYGTortoise Energy Infrastructure CorpCOM7,511$225.0K<0.1%History
RHIRobert Half Inc.COM2,917$223.0K<0.1%History
MTBM&T Bank CorpCOM1,211$214.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J825BULSHS 2025 CB10,713$214.0K<0.1%–
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG19,250$213.0K<0.1%History
RMDResmed IncCOM969$212.0K<0.1%History
LCIILci IndustriesCOM2,086$211.0K<0.1%History
ENPHEnphase Energy, Inc.Stock752$209.0K<0.1%History
BANFBancfirst CorpCOM2,224$201.0K<0.1%History
LILi Auto Inc.SPONSORED ADS8,700$200.0K<0.1%History
First Tr Energy Income & Gro33738G104COM12,536$186.0K<0.1%–
Global X FDS37950E549GLB X SUPERDIV21,700$164.0K<0.1%–
GELGenesis Energy LPUNIT LTD PARTN14,349$132.0K<0.1%History
CHYCalamos Convertible & High Income FundCOM SHS11,500$116.0K<0.1%History
WIWWestern Asset Inflation-Linked Opportunities & Income FundCEF12,100$110.0K<0.1%History
EVVEaton Vance Ltd Duration Income FundCOM11,049$102.0K<0.1%History
PLTRPalantir Technologies Inc.Stock11,608$94.0K<0.1%History
Euronet Worldwide, Inc.298736AL3NOTE 0.750% 3/1–$91.0K<0.1%–
LPROOpen Lending CorpCOM10,020$81.0K<0.1%History
HBIHanesbrands Inc.COM10,931$76.0K<0.1%History
TUPTupperware Brands CorpCOM10,400$68.0K<0.1%History
JMIAJumia Technologies AGSPONSORED ADS10,400$60.0K<0.1%History
ATIPATI Physical Therapy, Inc.COM CL A33,714$34.0K<0.1%History
QNGYQuanergy Systems, Inc.COMMON STOCK60,000$12.0K<0.1%History
QTNTQuotient LtdSHS20,000$3.00K<0.1%History