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Livermore
Livermore
ZHEN

D.A. Davidson & Co.

SEC CIK
0001080107
Latest filing
Jul 24, 2026

Holdings in Q4 2023

Holdings as of Dec 31, 2023, filed Feb 9, 2024. Long positions only; changes compare share counts with Q3 2023.

Institution overview
Positions
1,348
+34 vs. Q3 2023
Portfolio value
$10.2B
+$986.3M (+10.7%) vs. Q3 2023
Filed
Feb 9, 2024
SEC
Holdings of D.A. Davidson & Co. in Q4 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
CSSEChicken Soup for the Soul Entertainment, Inc.CL A14,353$3.15K<0.1%−2,689−15.8%ReducedHistory
OTLKOutlook Therapeutics, Inc.COM NEW28,000$11.0K<0.1%00.0%UnchangedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0–$14.9K<0.1%–––
RGTIWRigetti Computing, Inc.*W EXP 99/99/999125,000$16.9K<0.1%00.0%UnchangedHistory
SLDPSolid Power, Inc.CLASS A COM12,200$17.7K<0.1%−2,100−14.7%ReducedHistory
ATYRaTYR PHARMA INCCOM NEW12,750$18.0K<0.1%−10,000−44.0%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM10,348$28.0K<0.1%+114+1.1%AddedHistory
UAMYUnited States Antimony CorpCOM135,343$33.7K<0.1%00.0%UnchangedHistory
LYGLloyds Banking Group plcSPONSORED ADR15,438$36.9K<0.1%−63−0.4%ReducedHistory
RYAMRayonier Advanced Materials Inc.COM10,067$40.8K<0.1%00.0%UnchangedHistory
NATNordic American Tankers LtdCOM10,000$42.0K<0.1%−1,500−13.0%ReducedHistory
HRTXHeron Therapeutics, Inc.COM30,100$51.2K<0.1%−10,500−25.9%ReducedHistory
BTEBaytex Energy Corp.COM19,195$63.7K<0.1%00.0%UnchangedHistory
IGRCbre Global Real Estate Income FundCOM11,745$63.8K<0.1%+11,745NewHistory
GALTGalectin Therapeutics IncCOM NEW42,655$70.8K<0.1%+4,830+12.8%AddedHistory
PCKPIMCO California Municipal Income Fund IICOM12,553$72.8K<0.1%+2,238+21.7%AddedHistory
GUTGabelli Utility TrustCOM13,444$72.9K<0.1%+1,491+12.5%AddedHistory
CCIFCarlyle Credit Income FundSHS BEN INT10,022$79.7K<0.1%00.0%UnchangedHistory
OPENOpendoor Technologies Inc.COM18,000$80.6K<0.1%00.0%UnchangedHistory
HLHecla Mining CoCOM16,774$80.7K<0.1%−38,550−69.7%ReducedHistory
Atech (Parent) Resolution Corp.00973N102COM102,500$85.5K<0.1%−1,000−1.0%Reduced–
NMRNomura Holdings IncSPONSORED ADR19,108$86.2K<0.1%00.0%UnchangedHistory
Cheesecake Factory Inc163072AA9NOTE 0.375% 6/1–$86.4K<0.1%–––
NUVNuveen Municipal Value Fund IncCOM10,058$86.5K<0.1%−15,774−61.1%ReducedHistory
SDIGStronghold Digital Mining, Inc.CLASS A COM11,950$87.2K<0.1%−10,000−45.6%ReducedHistory
CHWCalamos Global Dynamic Income FundCOM16,000$92.3K<0.1%+16,000NewHistory
SIRISirius XM Holdings Inc.COM16,949$92.7K<0.1%+2,183+14.8%AddedHistory
AVXLAnavex Life Sciences Corp.COM NEW11,250$104.7K<0.1%+11,250NewHistory
OMOutset Medical, Inc.COM19,820$107.2K<0.1%+1,075+5.7%AddedHistory
PetIQ, Inc.71639TAB2NOTE 4.000% 6/0–$108.7K<0.1%–––
BTXBlackRock Technology & Private Equity Term TrustSHS BEN INT14,948$109.6K<0.1%+14,948NewHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT29,258$110.0K<0.1%00.0%UnchangedHistory
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$113.2K<0.1%–––
SWNSouthwestern Energy CoCOM17,763$116.3K<0.1%−4,560−20.4%ReducedHistory
KAMAN Corp483548AF0NOTE 3.250% 5/0–$116.4K<0.1%–––
Burlington Stores, Inc.122017AB2NOTE 2.250% 4/1–$118.7K<0.1%–New–
JetBlue Airways Corp477143AP6NOTE 0.500% 4/0–$121.6K<0.1%–––
VOXXVOXX International CorpCL A11,400$121.8K<0.1%−1,500−11.6%ReducedHistory
PLUGPlug Power IncStock27,112$122.0K<0.1%−6,220−18.7%ReducedHistory
OXLCOxford Lane Capital Corp.COM24,711$122.1K<0.1%+693+2.9%AddedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM10,454$127.4K<0.1%+10,454NewHistory
FPIFarmland Partners Inc.COM10,221$127.6K<0.1%+45+0.4%AddedHistory
Pacira BioSciences, Inc.695127AF7NOTE 0.750% 8/0–$129.0K<0.1%–––
BKNBlackRock Investment Quality Municipal Trust, Inc.COM11,100$131.6K<0.1%00.0%UnchangedHistory
Imax Corp45245EAJ8NOTE 0.500% 4/0–$133.1K<0.1%–––
WUWestern Union COStock11,180$133.3K<0.1%+161+1.5%AddedHistory
Lumentum Hldgs Inc55024UAD1NOTE 0.500%12/1–$133.9K<0.1%–––
PRPermian Resources CorpCLASS A COM10,010$136.1K<0.1%+10,010NewHistory
Solaredge Technologies, Inc.83417MAD6NOTE 9/1–$136.5K<0.1%–––
Enphase Energy, Inc.29355AAH0NOTE 3/0–$137.0K<0.1%–––
COOKTraeger, Inc.COMMON STOCK50,200$137.0K<0.1%−100−0.2%ReducedHistory
Itron, Inc.465741AN6NOTE 3/1–$138.5K<0.1%–––
Guess Inc401617AD7NOTE 2.000% 4/1–$139.9K<0.1%–––
Greenbrier Cos Inc393657AM3NOTE 2.875% 4/1–$144.1K<0.1%–––
Ironwood Pharmaceuticals Inc46333XAH1NOTE 1.500% 6/1–$146.5K<0.1%–New–
EMDWestern Asset Emerging Markets Debt Fund Inc.COM16,000$147.4K<0.1%+4,700+41.6%AddedHistory
Lci Inds501812AB7NOTE 1.125% 5/1–$147.7K<0.1%–––
Uber Technologies, Inc90353TAJ9NOTE 12/1–$148.8K<0.1%–––
Nuveen Calif Select Tax Free67063R103SH BEN INT11,699$149.6K<0.1%−2,600−18.2%Reduced–
BKCCBlackRock Capital Investment CorpCOM39,640$153.4K<0.1%+3,000+8.2%AddedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM14,028$154.3K<0.1%−804−5.4%ReducedHistory
CHYCalamos Convertible & High Income FundCOM SHS13,465$154.4K<0.1%+2,000+17.4%AddedHistory
Halozyme Therapeutics, Inc.40637HAD1NOTE 0.250% 3/0–$155.7K<0.1%–––
Ford MTR Co Del345370CZ1NOTE 3/1–$159.7K<0.1%–––
QSQuantumScape CorpCOM CL A23,096$160.5K<0.1%−3,350−12.7%ReducedHistory
CXMSprinklr, Inc.CL A13,350$160.7K<0.1%+13,350NewHistory
Lithium Americas Argentina Cor Com Shs53681K100Stock25,465$160.9K<0.1%+25,465New–
ULBIUltralife CorpCOM23,850$162.7K<0.1%+23,850NewHistory
WWWW International, Inc.COM18,845$164.9K<0.1%−500−2.6%ReducedHistory
BCATBlackRock Capital Allocation Term TrustCOM11,125$166.3K<0.1%+300+2.8%AddedHistory
Akamai Technologies Inc00971TAL5NOTE 0.375% 9/0–$167.6K<0.1%–––
NGLNGL Energy Partners LPCOM UNIT REPST30,164$168.0K<0.1%−457−1.5%ReducedHistory
LACLithium Americas Corp.Stock26,465$169.4K<0.1%+600+2.3%AddedHistory
ASCArdmore Shipping CorpCOM12,280$173.0K<0.1%+12,280NewHistory
BWBBridgewater Bancshares IncCOM12,900$174.4K<0.1%−1,320−9.3%ReducedHistory
Invesco Actvely MNGD Etc FD46090F100OPTIMUM YIELD13,115$174.4K<0.1%−2,308−15.0%Reduced–
JPCNuveen Preferred & Income Opportunities FundCOM26,596$179.8K<0.1%+26,596NewHistory
AGNCAGNC Investment Corp.REIT18,457$181.1K<0.1%+710+4.0%AddedHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR11,712$187.0K<0.1%−378−3.1%ReducedHistory
INTTIntest CorpCOM13,800$187.7K<0.1%+2,750+24.9%AddedHistory
CMTLComtech Telecommunications CorpCOM NEW22,380$188.7K<0.1%+22,380NewHistory
TPCTutor Perini CorpCOM21,081$191.8K<0.1%−9,650−31.4%ReducedHistory
PSTLPostal Realty Trust, Inc.CL A13,659$198.9K<0.1%+1,100+8.8%AddedHistory
AMEAmetek IncCOM1,217$200.7K<0.1%+1,217NewHistory
EVNEaton Vance Municipal Income TrustSH BEN INT20,472$201.0K<0.1%00.0%UnchangedHistory
AEISAdvanced Energy Industries IncCOM1,852$201.7K<0.1%+1,852NewHistory
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF7,876$201.9K<0.1%+7,876New–
Vanguard Scottsdale FDS92206C565TOTAL WLD BD ETF2,919$202.0K<0.1%−461−13.6%Reduced–
WYNNWynn Resorts LtdCOM2,222$202.5K<0.1%−8−0.4%ReducedHistory
WABWestinghouse Air Brake Technologies CorpStock1,596$202.5K<0.1%+1,596NewHistory
ANAutonation, Inc.COM1,353$203.2K<0.1%+1,353NewHistory
HOLXHologic IncCOM2,850$203.6K<0.1%+2,850NewHistory
iShares Tr4642874407-10 YR TRSY BD2,130$205.3K<0.1%+2,130New–
UNMUnum GroupStock4,542$205.4K<0.1%+38+0.8%AddedHistory
FTREFortrea Holdings Inc.COMMON STOCK5,888$205.5K<0.1%+5,888NewHistory
PNTGPennant Group, Inc.COM14,801$206.0K<0.1%−1,180−7.4%ReducedHistory
SNVSynovus Financial CorpCOM NEW5,487$206.6K<0.1%−11,488−67.7%ReducedHistory
EXRExtra Space Storage Inc.COM1,292$207.1K<0.1%+1,292NewHistory
ERICEricsson LM Telephone CoADR B SEK 1033,000$207.9K<0.1%00.0%UnchangedHistory
ELSEquity Lifestyle Properties IncCOM2,959$208.7K<0.1%+2,959NewHistory

Options (12)

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 2023
SecurityClassPutsCalls
BMOBank of MontrealCOM$19.5K–
RYRoyal Bank of CanadaStock$10.3K–
COFCapital One Financial CorpStock$8.58K–
GOLFAcushnet Holdings Corp.COM$8.40K–
LULUlululemon athletica inc.Stock$3.43K–
MAMastercard IncStock$3.10K–
LNTHLantheus Holdings, Inc.Stock–$2.26K
PLTRPalantir Technologies Inc.Stock$1.26K–
ZSZscaler, Inc.Stock$1.14K–
NUENucor CorpCOM$675–
AEOAmerican Eagle Outfitters IncCOM$170–
WSMWilliams Sonoma IncCOM$20–

Sold out since Q3 2023 (67)

Positions held at the end of Q3 2023 that are gone from this filing.

Positions of D.A. Davidson & Co. sold out since Q3 2023
SecurityClassShares in Q3 2023Value in Q3 2023% of portfolio in Q3 2023History
ATVIActivision Blizzard, Inc.COM66,200$6.20M0.1%History
VMWVmware LLCCL A COM36,291$6.04M0.1%History
iShares Tr46432F388MSCI USA VALUE66,065$5.99M0.1%–
Vanguard Admiral FDS Inc921932869MIDCP 400 GRTH32,548$2.94M<0.1%–
PAASPan American Silver CorpStock147,130$2.13M<0.1%History
Orla MNG Ltd New68634K106COM522,124$1.86M<0.1%–
iShares Tr46434VAX8IBONDS DEC23 ETF73,470$1.86M<0.1%–
Pacer FDS Tr69374H667US CHS CWS GWT50,770$1.82M<0.1%–
Global X FDS37954Y715RBTCS ARTFL INTE64,316$1.59M<0.1%–
GMEDGlobus Medical IncStock30,197$1.50M<0.1%History
INSEInspired Entertainment, Inc.COM90,420$1.08M<0.1%History
EVRIEveri Holdings Inc.COM57,684$762.6K<0.1%History
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB31,213$662.7K<0.1%–
GLPGlobal Partners LPCOM UNITS18,350$648.1K<0.1%History
SGENSeagen Inc.COM2,881$611.2K<0.1%History
PAYCPaycom Software, Inc.Stock2,196$569.4K<0.1%History
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF12,608$520.2K<0.1%–
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS23,742$504.8K<0.1%History
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE8,226$496.4K<0.1%–
MDCSekisui House U.S., Inc.COM10,535$434.4K<0.1%History
REPXRiley Exploration Permian, Inc.COM12,050$383.1K<0.1%History
Listed FD Tr53656F847CORE ALT FD13,140$362.7K<0.1%–
FROFrontline plcCOM18,610$349.5K<0.1%History
BLFSBiolife Solutions IncCOM NEW25,000$345.3K<0.1%History
HIIHuntington Ingalls Industries, Inc.COM1,563$319.9K<0.1%History
First Tr Exchange-Traded FD33739Q507SSI STRG ETF9,608$298.5K<0.1%–
HESMHess Midstream LPCL A SHS10,000$291.3K<0.1%History
NXPNuveen Select Tax Free Income PortfolioSH BEN INT21,494$285.9K<0.1%History
Global X FDS37950E291GLOBX SUPDV US16,900$273.7K<0.1%–
iShares Tr46435G318IBONDS DEC202310,141$258.8K<0.1%–
Innovator ETFs Tr45782C102IBD 50 ETF11,455$256.3K<0.1%–
FLEXFlex Ltd.Stock9,295$250.8K<0.1%History
GNLXGENELUX CorpCOM9,666$236.7K<0.1%History
EXASExact Sciences CorpCOM3,405$232.3K<0.1%History
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,636$229.2K<0.1%–
BIDUBaidu, Inc.ADR1,704$228.9K<0.1%History
AEHRAehr Test SystemsCOM5,000$228.5K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM13,193$226.4K<0.1%History
ESTEEarthstone Energy IncCL A10,985$222.3K<0.1%History
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM14,796$218.8K<0.1%History
iShares Tr464288281JPMORGAN USD EMG2,640$217.9K<0.1%–
Alps Clean Energy ETF00162Q460ETF5,870$214.7K<0.1%–
CFCF Industries Holdings, Inc.COM2,501$214.4K<0.1%History
ETREntergy CorpCOM2,285$211.4K<0.1%History
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY4,300$210.6K<0.1%–
ALSNAllison Transmission Holdings IncStock3,551$209.7K<0.1%History
iShares Tr464288158SHRT NAT MUN ETF2,020$207.8K<0.1%–
ANSSAnsys IncCOM690$205.3K<0.1%History
NWENorthWestern Energy Group, Inc.COM NEW4,225$203.1K<0.1%History
Pacer FDS Tr69374H741DATA AND INFRAST7,761$200.9K<0.1%–
Nuveen High Income 2023 Targ67079F101COM18,500$176.5K<0.1%–
Ironwood Pharmaceuticals Inc46333XAF5NOTE 0.750% 6/1–$132.4K<0.1%–
NMZNuveen Municipal High Income Opportunity FundCOM13,832$128.4K<0.1%History
CHPTChargePoint Holdings, Inc.COM CL A23,535$117.0K<0.1%History
NIMNuveen Select Maturities Municipal FundSH BEN INT13,104$111.0K<0.1%History
RIOTRiot Platforms, Inc.COM10,400$97.0K<0.1%History
SNAPSnap IncStock10,091$89.9K<0.1%History
Spirit Airls Inc848577AB8NOTE 1.000% 5/1–$82.8K<0.1%–
FTFFranklin Ltd Duration Income TrustCOM12,855$78.3K<0.1%History
NOKNokia CorpSPONSORED ADR15,282$57.2K<0.1%History
JRSHJerash Holdings (US), Inc.COM18,167$55.1K<0.1%History
HIOWestern Asset High Income Opportunity Fund Inc.COM12,994$47.3K<0.1%History
HUTHut 8 Corp.Common Stock22,950$44.8K<0.1%History
SACHSachem Capital Corp.COM10,130$35.8K<0.1%History
FEAM5E Advanced Materials, Inc.COMMON STOCK14,292$32.3K<0.1%History
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$19.8K<0.1%–
CKPTCheckpoint Therapeutics, Inc.COM NEW10,000$17.0K<0.1%History