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Livermore
ZHEN

Neuberger Berman Group LLC

SEC CIK
0001465109
Latest filing
Aug 13, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,753
+4 vs. Q2 2021
Portfolio value
$114.4B
−$187.5M (−0.2%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Neuberger Berman Group LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
LUMNLumen Technologies, Inc.Stock12,301$00.0%+12,301NewHistory
Tailwind Acquisition Corp87403Q110*W EXP 09/07/20210,000$6.00K<0.1%00.0%Unchanged–
TCW Special Purpose Acqu Cor87301L114*W EXP 99/99/99928,338$18.0K<0.1%+28,338New–
YCBDcbdMD, Inc.COM10,000$21.0K<0.1%+10,000NewHistory
Churchill Capital Corp VII17144M110*W EXP 02/29/20225,004$23.0K<0.1%+25,004New–
Group Nine Acquisition Corp.39947R112*W EXP 01/15/20234,005$24.0K<0.1%+34,005New–
Finserv Acquisition Corp. II31809Y111*W EXP 02/17/20228,337$25.0K<0.1%+28,337New–
Offerpad Solutions Inc.67623L117*W EXP 10/16/20215,341$27.0K<0.1%+15,341New–
Interprivate IV Infratech PR46064T110*W EXP 03/05/20245,340$30.0K<0.1%+45,340New–
Climate Real Impact Slutins187171111*W EXP 01/29/20229,754$31.0K<0.1%+29,754New–
EDUNew Oriental Education & Technology Group Inc.SPON ADR17,115$32.0K<0.1%−3,072−15.2%ReducedHistory
Interprivate II Acquisition46064Q116*W EXP 09/03/20234,005$34.0K<0.1%+34,005New–
FAST Acquisition Corp. II311874119*W EXP 03/16/20238,256$35.0K<0.1%+38,256New–
UAVSAgEagle Aerial Systems Inc.COM12,018$36.0K<0.1%00.0%UnchangedHistory
Vectoiq Acquisition Corp II92244F117*W EXP 01/07/20246,570$36.0K<0.1%+46,570New–
ENZBEnzo Biochem IncCOM10,836$38.0K<0.1%+10,836NewHistory
Social Leverage Acquisn Corp83363K110*W EXP 02/17/20247,820$40.0K<0.1%+47,820New–
Taboola.com Ltd.M8744T114*W EXP 06/29/20221,845$40.0K<0.1%−8,255−27.4%Reduced–
KOSKosmos Energy Ltd.COM14,000$41.0K<0.1%−4,913−26.0%ReducedHistory
Switchback II CorpG8633T107*W EXP 01/07/20232,579$45.0K<0.1%00.0%Unchanged–
XPLSolitario Resources Corp.COM87,056$48.0K<0.1%00.0%UnchangedHistory
TELLTellurian Inc.COM12,196$48.0K<0.1%+500+4.3%AddedHistory
BRWSaba Capital Income & Opportunities FundSHARES10,700$49.0K<0.1%−2,268−17.5%ReducedHistory
Property Solutions Acquisiti74350A116*W EXP 03/01/20273,151$51.0K<0.1%+73,151New–
GALTGalectin Therapeutics IncCOM NEW13,614$53.0K<0.1%00.0%UnchangedHistory
Silverbox Engaged Merger Co82836L119*W EXP 06/02/20273,925$53.0K<0.1%+73,925New–
Interprivate III Financial P46064R114*W EXP 99/99/99945,340$58.0K<0.1%+45,340New–
Ginkgo Bioworks Holdings, Inc.37611X118*W EXP 08/01/20218,690$63.0K<0.1%+18,690New–
DPCM Cap Inc23344P119*W EXP 10/14/202102,972$64.0K<0.1%00.0%Unchanged–
Northern Genesis Acquisition66516U119*W EXP 01/15/20260,724$65.0K<0.1%+60,724New–
890 5th Ave Partners Inc28250A113*W EXP 01/12/20256,675$70.0K<0.1%+56,675New–
Two Harbors Investment Corp.90187B408COM NEW12,922$73.0K<0.1%−353−2.7%Reduced–
DXCDXC Technology CoStock10,399$84.0K<0.1%−23−0.2%ReducedHistory
Independence Holdings CorpG4761A127*W EXP 03/31/20283,713$88.0K<0.1%+83,713New–
Gores Guggenheim, Inc.38286Q115*W EXP 03/25/20243,178$90.0K<0.1%+43,178New–
Epiphany Technology Acquisit29429X117*W EXP 01/12/202106,267$94.0K<0.1%00.0%Unchanged–
IQiQIYI, Inc.SPONSORED ADS12,615$96.0K<0.1%−3,582,146−99.6%ReducedHistory
Yamana Gold Inc98462Y100COM22,128$96.0K<0.1%−55,463−71.5%Reduced–
Senior Connect Acquisitn Cor81723H116*W EXP 12/31/202148,451$105.0K<0.1%00.0%Unchanged–
Adit Edtech Acquisition Corp007024110*W EXP 99/99/999212,534$106.0K<0.1%+212,534New–
KKR Real Estate Fin Tr Inc48251KAB6NOTE 6.125% 5/1–$111.0K<0.1%–––
NOVNOV Inc.COM13,961$114.0K<0.1%+3,739+36.6%AddedHistory
Marquee Raine Acquisition CoG58442123*W EXP 12/01/20285,987$115.0K<0.1%00.0%Unchanged–
AMWLAmerican Well CorpCL A13,205$120.0K<0.1%00.0%UnchangedHistory
Sports Entertainment Acqu Co84918M106COM CL A12,800$128.0K<0.1%00.0%Unchanged–
MROMarathon Oil CorpCOM14,300$132.0K<0.1%−677−4.5%ReducedHistory
PRTYParty City Holdco Inc.COM18,919$134.0K<0.1%−1,716−8.3%ReducedHistory
BRMKBroadmark Realty Capital Inc.COM14,165$140.0K<0.1%00.0%UnchangedHistory
AMRNAmarin Corp PLCSPONS ADR NEW28,754$147.0K<0.1%00.0%UnchangedHistory
CMLSQCumulus Media IncCOM CL A12,091$148.0K<0.1%00.0%UnchangedHistory
SVF Investment Corp. 2G8601M100CL A SHS15,302$150.0K<0.1%00.0%Unchanged–
ARLPAlliance Resource Partners LPStock13,938$152.0K<0.1%00.0%UnchangedHistory
SASeabridge Gold IncCOM10,000$155.0K<0.1%00.0%UnchangedHistory
BDNBrandywine Realty TrustSH BEN INT NEW12,827$170.0K<0.1%+132+1.0%AddedHistory
INNSummit Hotel Properties, Inc.COM18,812$177.0K<0.1%+37+0.2%AddedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM37,649$181.0K<0.1%00.0%UnchangedHistory
NAVINavient CorpCOM11,594$184.0K<0.1%+83+0.7%AddedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER25,000$192.0K<0.1%00.0%UnchangedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A24,000$193.0K<0.1%+24,000NewHistory
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM14,605$195.0K<0.1%00.0%UnchangedHistory
Turquoise Hill Res Ltd900435207COM13,395$198.0K<0.1%+13,395New–
WASHWashington Trust Bancorp IncCOM3,789$201.0K<0.1%+3,789NewHistory
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS1,585$202.0K<0.1%00.0%Unchanged–
IVACIntevac IncCOM42,400$203.0K<0.1%+10,000+30.9%AddedHistory
CACICACI International IncCL A792$204.0K<0.1%+792NewHistory
AIVApartment Investment & Management CoCL A29,744$204.0K<0.1%+1,498+5.3%AddedHistory
BNLBroadstone Net Lease, Inc.COM8,270$205.0K<0.1%+8,270NewHistory
FMSFresenius Medical Care AGSPONSORED ADR5,875$205.0K<0.1%+11+0.2%AddedHistory
iShares MSCI USA Min Vol Factor ETF46429B697ETF2,804$206.0K<0.1%+2,804New–
BFLYButterfly Network, Inc.COM CL A19,700$206.0K<0.1%−21,775−52.5%ReducedHistory
iShares Tr464288752US HOME CONS ETF3,131$207.0K<0.1%00.0%Unchanged–
HYTBlackRock Corporate High Yield Fund, Inc.COM16,958$207.0K<0.1%00.0%UnchangedHistory
SDGRSchrodinger, Inc.COM3,802$207.0K<0.1%+136+3.7%AddedHistory
FWONKLiberty Media CorpCOM SER C FRMLA5,223$207.0K<0.1%+5,223NewHistory
ALLOAllogene Therapeutics, Inc.COM8,085$208.0K<0.1%00.0%UnchangedHistory
RJFRaymond James Financial IncCOM4,234$209.0K<0.1%−1,510−26.3%ReducedHistory
Pershing Square Tontine Hldg71531R109COM CL A10,670$210.0K<0.1%−685,087−98.5%Reduced–
BUDAnheuser-Busch InBev SA/NVADR3,815$212.0K<0.1%+868+29.5%AddedHistory
WDWalker & Dunlop, Inc.COM1,894$214.0K<0.1%+1,894NewHistory
iShares Inc46434G848MSCI GBL ETF NEW5,318$217.0K<0.1%00.0%Unchanged–
BURBurford Capital LtdORD SHS19,813$218.0K<0.1%00.0%UnchangedHistory
First Tr Exch Traded FD III33739E108PFD SECS INC ETF10,670$219.0K<0.1%00.0%Unchanged–
KNSLKinsale Capital Group, Inc.Stock1,363$221.0K<0.1%+1,363NewHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF4,410$221.0K<0.1%+410+10.3%Added–
ITGRInteger Holdings CorpCOM2,484$221.0K<0.1%+10+0.4%AddedHistory
SAMBoston Beer Co IncCL A438$223.0K<0.1%−26,441−98.4%ReducedHistory
GANGAN LtdORD SHS15,000$223.0K<0.1%00.0%UnchangedHistory
IPARInterparfums IncCOM3,416$226.0K<0.1%+3,416NewHistory
US Ecology, Inc.91734M103COM7,064$226.0K<0.1%+7,064New–
DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncSHS8,000$230.0K<0.1%00.0%UnchangedHistory
NVECNve CorpCOM NEW3,599$230.0K<0.1%+780+27.7%AddedHistory
PORPortland General Electric CoCOM NEW5,146$231.0K<0.1%+4+0.1%AddedHistory
CASYCaseys General Stores IncCOM1,345$232.0K<0.1%+138+11.4%AddedHistory
MLPBUBS AGETRACS ALER MLP15,000$233.0K<0.1%00.0%UnchangedHistory
TPHTri Pointe Homes, Inc.COM12,813$236.0K<0.1%+12,813NewHistory
KALUKaiser Aluminum CorpCOM PAR $0.012,197$239.0K<0.1%+2,197NewHistory
BBCPConcrete Pumping Holdings, Inc.COM27,938$239.0K<0.1%00.0%UnchangedHistory
STEMStem, Inc.CL A10,008$239.0K<0.1%−693−6.5%ReducedHistory
DBRGDigitalBridge Group, Inc.CL A COM60,330$241.0K<0.1%00.0%UnchangedHistory
FRFirst Industrial Realty Trust IncCOM4,642$242.0K<0.1%00.0%UnchangedHistory

Options (5)

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

Option positions of Neuberger Berman Group LLC in Q3 2021
SecurityClassPutsCalls
AMDAdvanced Micro Devices IncStock$801.0K$292.0K
RKLBRocket Lab CorpCOM$1.07M–
APOApollo Global Management, Inc.COM CL A–$1.00M
XLNXXilinx IncCOM$976.0K–
SPYSPDR S&P 500 ETF TrustETF$230.0K–

Sold out since Q2 2021 (130)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 130 by value last quarter.

Positions of Neuberger Berman Group LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
ALXNAlexion Pharmaceuticals, Inc.COM769,228$141.2M0.1%History
PDDPDD Holdings Inc.SPONSORED ADS647,476$82.2M0.1%History
BWABorgwarner IncCOM1,206,950$58.6M0.1%History
RRCRange Resources CorpCOM2,813,884$47.1M<0.1%History
MXIMMaxim Integrated Products IncCOM388,032$40.9M<0.1%History
MOMOHello Group Inc.ADR1,904,769$29.2M<0.1%History
BILIBilibili Inc.SPONS ADS REP Z223,579$27.2M<0.1%History
WORKSlack Technologies, Inc.COM CL A523,226$23.2M<0.1%History
QTWOQ2 Holdings, Inc.COM209,401$21.5M<0.1%History
RXTRackspace Technology, Inc.COM975,751$19.2M<0.1%History
Chindata Group Hldgs Ltd16955F107ADS1,220,287$18.4M<0.1%–
SNVSynovus Financial CorpCOM NEW407,945$17.9M<0.1%History
NAVNavistar International CorpCOM397,537$17.7M<0.1%History
Twitter, Inc.90184LAD4NOTE 1.000% 9/1–$13.8M<0.1%–
GAPGap IncCOM401,301$13.4M<0.1%History
FLFoot Locker, Inc.COM213,435$13.2M<0.1%History
PFPTProofpoint IncCOM75,575$13.1M<0.1%History
Soaring Eagle Acquisition CoG8354H126CL A SHS928,492$9.25M<0.1%–
DOCSDoximity, Inc.CL A157,500$9.17M<0.1%History
LMNXLuminex CorpCOM223,331$7.93M<0.1%History
GRAW R Grace & CoCOM102,527$7.08M<0.1%History
RGENRepligen CorpCOM35,172$6.96M<0.1%History
CDLXCardlytics, Inc.COM44,897$5.69M<0.1%History
Brookfield Property Partrs LG16249107UNIT LTD PARTN234,126$4.45M<0.1%–
Adit Edtech Acquisition Corp007024201UNIT 99/99/9999425,069$4.25M<0.1%–
Nextgen Acquisition Corp IIG65317110UNIT 03/23/2026386,155$4.17M<0.1%–
PARPar Technology CorpCOM56,074$3.92M<0.1%History
LASRNlight, Inc.COM106,788$3.87M<0.1%History
VERIVeritone, Inc.COM182,015$3.58M<0.1%History
Peridot Acquisition Corp. IIG7008B113UNIT 99/99/9999357,058$3.57M<0.1%–
MRTXMirati Therapeutics, Inc.COM20,257$3.27M<0.1%History
MTORMeritor, Inc.COM132,952$3.11M<0.1%History
Fireeye Inc31816QAD3NOTE 1.625% 6/0–$2.98M<0.1%–
SPTSprout Social, Inc.COM CL A33,342$2.98M<0.1%History
Splunk Inc848637AF1NOTE 1.125% 6/1–$2.91M<0.1%–
Property Solutions Acquisiti74350A207UNIT 03/01/2026292,605$2.91M<0.1%–
Ion Acquisition Corp 2 LtdG49393120UNIT 99/99/9999255,041$2.57M<0.1%–
Gores Guggenheim, Inc.38286Q206UNIT 03/25/2028250,804$2.51M<0.1%–
Biomarin Pharmaceutical Inc09061GAK7NOTE 1.250% 5/1–$2.51M<0.1%–
COLLCollegium Pharmaceutical, IncCOM103,933$2.45M<0.1%History
Vectoiq Acquisition Corp II92244F208UNIT 99/99/9999232,853$2.39M<0.1%–
WHDCactus, Inc.CL A64,958$2.35M<0.1%History
Brookfield Ppty REIT Inc11282X103CL A121,925$2.30M<0.1%–
Interprivate III Financial P46064R205UNIT 99/99/9999226,704$2.26M<0.1%–
Interprivate IV Infratech PR46064T201UNIT 03/05/2026226,704$2.26M<0.1%–
Silverbox Engaged Merger Co82836L200UNIT 03/31/2028221,775$2.22M<0.1%–
Social Leverage Acquisn Corp83363K201UNIT 99/99/9999191,281$1.91M<0.1%–
RHIRobert Half Inc.COM21,440$1.91M<0.1%History
Northern Genesis Acquisition66516U200UNIT 99/99/9999182,173$1.91M<0.1%–
Atotech LtdG0625A105COM74,199$1.89M<0.1%–
890 5th Ave Partners Inc28250A204UNIT 01/12/2026170,028$1.74M<0.1%–
Interprivate II Acquisition46064Q207UNIT 99/99/9999170,028$1.70M<0.1%–
FAST Acquisition Corp. II311874200UNIT 03/16/2026153,025$1.53M<0.1%–
Climate Real Impact Slutins187171202UNIT 99/99/9999148,774$1.51M<0.1%–
KGCKinross Gold CorpCOM236,882$1.50M<0.1%History
iShares Tr46429B671MSCI CHINA ETF17,600$1.45M<0.1%–
BBDBank BradescoSP ADR PFD NEW272,039$1.38M<0.1%History
ScION Tech Growth IIG31070124UNIT 99/99/9999132,834$1.32M<0.1%–
ARRYArray Technologies, Inc.COM SHS83,811$1.28M<0.1%History
LGL Sys Acquisition Corp50201G106COM CL A127,521$1.27M<0.1%–
ACHRArcher Aviation Inc.COM127,521$1.27M<0.1%History
OPAL Fuels Inc.G0R21B120UNIT 03/16/2028125,402$1.26M<0.1%–
Churchill Capital Corp VII17144M201UNIT 99/99/9999125,021$1.25M<0.1%–
Finserv Acquisition Corp. II31809Y202UNIT 02/17/2026113,351$1.13M<0.1%–
DOOBRP Inc.COM SUN VTG14,264$1.12M<0.1%History
Group Nine Acquisition Corp.39947R203UNIT 01/15/2026102,017$1.02M<0.1%–
Soaring Eagle Acquisition CoG8354H100UNIT 02/23/202694,850$1.00M<0.1%–
RITMRithm Capital Corp.REIT98,603$993.0K<0.1%History
MFICMidCap Financial Investment CorpCOM NEW68,714$938.0K<0.1%History
SAFMSanderson Farms IncCOM4,928$926.0K<0.1%History
TCW Special Purpose Acqu Cor87301L205UNIT 99/99/999985,014$848.0K<0.1%–
Moringa Acquisition CorpG6S23K116UNIT 02/16/202685,014$847.0K<0.1%–
ONTFON24 Inc.COM22,875$812.0K<0.1%History
Virgin Group Acquisit Corp IG9460K110UNIT 99/99/999980,777$809.0K<0.1%–
Brookfield Business PartnersG16234109UNIT LTD L P16,825$779.0K<0.1%–
FDUSFidus Investment CorpCOM41,223$701.0K<0.1%History
Qell Acquisition CorpG7307X121UNIT 10/01/202559,125$619.0K<0.1%–
CPRICapri Holdings LtdSHS13,033$612.0K<0.1%History
International FLAVORS&FRAGRA459506309UNIT 09/15/202111,083$561.0K<0.1%–
Pershing Square Tontine Hldg71531R117*W EXP 07/24/20281,163$512.0K<0.1%–
INNVInnovAge Holding Corp.COM24,600$502.0K<0.1%History
Dada Nexus Ltd23344D108ADS17,000$493.0K<0.1%–
PCHPotlatchdeltic CorpCOM9,253$492.0K<0.1%History
Supernova Partners Acquisiti86846V207UNIT 99/99/999946,024$480.0K<0.1%–
ACIAlbertsons Companies, Inc.COMMON STOCK22,707$412.0K<0.1%History
Reinvent Technology PartnersG7484L114UNIT 03/12/202639,237$396.0K<0.1%–
Grid Dynamics Hldgs Inc39813G117*W EXP 03/05/20273,714$387.0K<0.1%–
PRVAPrivia Health Group, Inc.COM8,400$373.0K<0.1%History
SFIXStitch Fix, Inc.Stock6,282$357.0K<0.1%History
Exact Sciences Corp30063PAA3NOTE 1.000% 1/1–$355.0K<0.1%–
SLQTSelectQuote, Inc.COM24,049$351.0K<0.1%History
UTHRUnited Therapeutics CorpCOM2,171$348.0K<0.1%History
Invesco Exch Traded FD Tr II46138E149S&P SMLCP HELT1,780$345.0K<0.1%–
TCPCBlackRock TCP Capital Corp.COM23,395$323.0K<0.1%History
CCNECNB Financial CorpCOM12,965$296.0K<0.1%History
CPERUnited States Commodity Index Funds TrustCM REP COPP FD11,100$291.0K<0.1%History
ARK Innovation ETF00214Q104ETF2,183$285.0K<0.1%–
HRBH&R Block IncCOM12,054$283.0K<0.1%History
STORStore Capital LLCCOM8,417$278.0K<0.1%History
SFStifel Financial CorpCOM4,279$277.0K<0.1%History