Skip to main content
Livermore
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
RCReady Capital CorpCOM90,391$1.30M<0.1%+75,014+487.8%AddedHistory
Vanguard Morningstar Small-Cap ETF922908751ETF5,961$1.30M<0.1%+1,311+28.2%Added–
AGIOAgios Pharmaceuticals, Inc.COM28,307$1.30M<0.1%−4,665−14.1%ReducedHistory
YUMYum Brands IncStock19,141$1.32M<0.1%−1,159−5.7%ReducedHistory
BNYBank of New York Mellon CorpStock31,720$1.32M<0.1%−905−2.8%ReducedHistory
Sailpoint Technologies Holdings, Inc.78781P105COM32,642$1.35M<0.1%+1,714+5.5%Added–
ABEVAmbev S.A.SPONSORED ADR493,347$1.36M<0.1%−436−0.1%ReducedHistory
RDNWRideNow Group, Inc.COM CL B35,000$1.36M<0.1%+35,000NewHistory
AVOMission Produce, Inc.COM74,300$1.37M<0.1%00.0%UnchangedHistory
FARMFarmer Brothers CoCOM162,750$1.37M<0.1%−17,000−9.5%ReducedHistory
CCSCentury Communities, Inc.COM22,313$1.37M<0.1%+100.0%AddedHistory
UHALU-Haul Holding CoCOM2,151$1.39M<0.1%+2,151NewHistory
FOXAFox CorpCL A COM38,486$1.39M<0.1%−70,229−64.6%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J841BULSHS 2024 CB63,428$1.40M<0.1%00.0%Unchanged–
ZZillow Group, Inc.CL C CAP STK16,509$1.41M<0.1%+857+5.5%AddedHistory
LHLabcorp Holdings Inc.COM NEW5,457$1.41M<0.1%−2,601−32.3%ReducedHistory
BKEPBlueknight Energy Partners, L.P.COM UNIT468,889$1.43M<0.1%−35,211−7.0%ReducedHistory
LSILife Storage, Inc.COM12,662$1.44M<0.1%−1,729−12.0%ReducedHistory
Climate Real Impact Slutins187171103COM CL A148,774$1.46M<0.1%+148,774New–
TLKPerusahaan Perseroan Persero PT Telekomunikasi Indonesia TBKSPONSORED ADR57,441$1.46M<0.1%−564−1.0%ReducedHistory
CERNCERNER CorpCOM22,512$1.46M<0.1%−3,143−12.3%ReducedHistory
CZNCCitizens & Northern CorpCOM57,849$1.46M<0.1%−1,612−2.7%ReducedHistory
iShares Tr464287861EUROPE ETF28,384$1.48M<0.1%−198−0.7%Reduced–
FZTFAST Acquisition Corp. IICL A153,025$1.48M<0.1%+153,025NewHistory
RPMRPM International IncCOM19,193$1.49M<0.1%−6,194−24.4%ReducedHistory
COFCapital One Financial CorpStock12,575$1.50M<0.1%−695−5.2%ReducedHistory
NTRSNorthern Trust CorpCOM15,775$1.51M<0.1%−682−4.1%ReducedHistory
Exact Sciences Corp30063PAC9NOTE 0.375% 3/0–$1.51M<0.1%–––
Vanguard Ftse Developed Markets ETF921943858ETF44,954$1.52M<0.1%−1,756−3.8%Reduced–
ASANAsana, Inc.CL A16,172$1.53M<0.1%−1,209−7.0%ReducedHistory
TRTNTriton International LtdCL A29,477$1.53M<0.1%−13,347−31.2%ReducedHistory
USPHU S Physical Therapy IncCOM13,907$1.54M<0.1%+1,970+16.5%AddedHistory
EHCEncompass Health CorpCOM20,718$1.54M<0.1%−213,126−91.1%ReducedHistory
BIIBBiogen Inc.COM7,894$1.54M<0.1%−16−0.2%ReducedHistory
AOSSmith A O CorpCOM26,427$1.56M<0.1%−2,506−8.7%ReducedHistory
VMEOVimeo, Inc.COMMON STOCK53,519$1.57M<0.1%−327,178−85.9%ReducedHistory
TALOTalos Energy Inc.COM114,896$1.58M<0.1%+114,896NewHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF28,500$1.58M<0.1%+28,500New–
IRIngersoll Rand Inc.COM31,494$1.59M<0.1%−2,944−8.5%ReducedHistory
BRKRBruker CorpCOM20,946$1.59M<0.1%−234−1.1%ReducedHistory
ITGartner IncCOM7,017$1.60M<0.1%+355+5.3%AddedHistory
HEI.AHeico CorpCL A13,724$1.61M<0.1%+2,393+21.1%AddedHistory
RACEFerrari N.V.COM7,845$1.62M<0.1%+1,558+24.8%AddedHistory
VCVisteon CorpCOM NEW17,758$1.62M<0.1%−236,175−93.0%ReducedHistory
SWBKSwitchback II CorpCOM CL A162,898$1.62M<0.1%00.0%UnchangedHistory
BSCLBILI Social International, Inc.BULSHS 2021 CB77,069$1.63M<0.1%00.0%UnchangedHistory
Vanguard Total World Stock ETF922042742ETF16,022$1.63M<0.1%00.0%Unchanged–
VSTOVista Outdoor Inc.COM41,487$1.64M<0.1%+190.0%AddedHistory
Vanguard Morningstar Mid-Cap ETF922908629ETF6,980$1.65M<0.1%+1,441+26.0%Added–
NCNOnCino, Inc.COM23,351$1.66M<0.1%+3,966+20.5%AddedHistory
GETRGetaround, IncCL A COM170,028$1.66M<0.1%+170,028NewHistory
IESCIES Holdings, Inc.COM36,539$1.67M<0.1%+5,900+19.3%AddedHistory
Natura &CO Hldg S A63884N108ADS101,395$1.68M<0.1%+51,276+102.3%Added–
890 5th Ave Partners Inc28250A105COM CL A170,028$1.69M<0.1%+170,028New–
UGIUgi CorpStock41,016$1.69M<0.1%−2,759−6.3%ReducedHistory
Whole Earth Brands, Inc.96684W126*W EXP 06/25/2021,149,405$1.69M<0.1%+701,800+156.8%Added–
Dragoneer Growth Oppty CorpG28314105SHS CL A173,707$1.73M<0.1%00.0%Unchanged–
AFGAmerican Financial Group IncCOM13,919$1.75M<0.1%+10,633+323.6%AddedHistory
ITUBItau Unibanco Holding S.A.SPON ADR REP PFD332,815$1.75M<0.1%−25,763−7.2%ReducedHistory
iShares Core S&P Mid-Cap ETF464287507ETF6,669$1.75M<0.1%+160+2.5%Added–
TWTRTwitter, Inc.COM34,986$1.78M<0.1%−193−0.5%ReducedHistory
AZTAAzenta, Inc.COM19,200$1.79M<0.1%−51,456−72.8%ReducedHistory
Paramount Global92556H206CL B56,067$1.80M<0.1%+9,765+21.1%Added–
MXCTMaxcyte, Inc.COM149,887$1.81M<0.1%+149,887NewHistory
Northern Genesis Acquisition66516U101COMMON STOCK182,173$1.81M<0.1%+182,173New–
LIILennox International IncCOM6,133$1.81M<0.1%−703−10.3%ReducedHistory
XNCRXencor IncCOM55,603$1.82M<0.1%+55,603NewHistory
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB84,648$1.82M<0.1%+2,318+2.8%Added–
iShares Tr46435G672CORE INTL AGGR33,647$1.85M<0.1%00.0%Unchanged–
Vanguard Morningstar Total Stock Market ETF922908769ETF8,342$1.85M<0.1%−989−10.6%Reduced–
SMGScotts Miracle-Gro CoStock12,692$1.85M<0.1%−1,378−9.8%ReducedHistory
DLADelta Apparel, IncCOM68,049$1.86M<0.1%−2,601−3.7%ReducedHistory
IBKRInteractive Brokers Group, Inc.Stock29,852$1.86M<0.1%+5,283+21.5%AddedHistory
OLOOlo Inc.CL A62,095$1.86M<0.1%+2,846+4.8%AddedHistory
NNNNNN REIT, Inc.REIT43,293$1.87M<0.1%−356,465−89.2%ReducedHistory
Social Leverage Acquisn Corp83363K102COM CL A191,281$1.87M<0.1%+191,281New–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD17,804$1.88M<0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD73,190$1.92M<0.1%+18,900+34.8%Added–
BRBroadridge Financial Solutions, Inc.Stock13,096$1.93M<0.1%−163−1.2%ReducedHistory
DASHDoorDash, Inc.Stock9,780$1.94M<0.1%+9,780NewHistory
LULufax Holding LtdADS REP SHS CL A281,155$1.95M<0.1%+186,004+195.5%AddedHistory
BMRNBiomarin Pharmaceutical IncCOM27,245$1.96M<0.1%−5,386−16.5%ReducedHistory
DCIDonaldson Co IncStock34,399$1.97M<0.1%+548+1.6%AddedHistory
PCRXPacira BioSciences, Inc.COM35,649$2.00M<0.1%−15,510−30.3%ReducedHistory
BBVABanco Bilbao Vizcaya Argentaria, S.A.SPONSORED ADR305,506$2.01M<0.1%+1,888+0.6%AddedHistory
UVVUniversal CorpCOM41,673$2.01M<0.1%−1,191−2.8%ReducedHistory
ACGLArch Capital Group Ltd.Stock53,275$2.02M<0.1%+76+0.1%AddedHistory
OCOwens CorningStock23,911$2.04M<0.1%−12,269−33.9%ReducedHistory
DDDuPont de Nemours, Inc.COM33,060$2.04M<0.1%−636,924−95.1%ReducedHistory
XPXP Inc.CL A52,338$2.06M<0.1%+3,684+7.6%AddedHistory
HASHasbro, Inc.COM23,745$2.09M<0.1%−258−1.1%ReducedHistory
LYVLive Nation Entertainment, Inc.COM24,180$2.10M<0.1%+3,116+14.8%AddedHistory
ATHMAutohome Inc.SP ADS RP CL A45,573$2.12M<0.1%+18,466+68.1%AddedHistory
APLSApellis Pharmaceuticals, Inc.COM64,196$2.12M<0.1%+64,196NewHistory
CFCF Industries Holdings, Inc.COM38,398$2.13M<0.1%+11,153+40.9%AddedHistory
LOGILogitech International S.A.SHS23,916$2.13M<0.1%−1,627−6.4%ReducedHistory
GSKGSK plcSPONSORED ADR56,447$2.14M<0.1%−2,881−4.9%ReducedHistory
NOVASunnova Energy International Inc.COM71,567$2.15M<0.1%−22,607−24.0%ReducedHistory
MTXMinerals Technologies IncCOM30,975$2.16M<0.1%−30,008−49.2%ReducedHistory
SBEASBEA Merger Sub LLCCOM CL A221,775$2.17M<0.1%+221,775NewHistory

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