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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
FLNAFilana Therapeutics, Inc.COM35,000$2.17M<0.1%+13,000+59.1%AddedHistory
BGCBGC Group, Inc.CL A419,486$2.18M<0.1%+18,595+4.6%AddedHistory
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB100,606$2.18M<0.1%+2,302+2.3%Added–
CPBCAMPBELL'S CoCOM52,596$2.19M<0.1%−4,911−8.5%ReducedHistory
AZEKAZEK Co Inc.CL A60,148$2.20M<0.1%−17,875−22.9%ReducedHistory
Interprivate IV Infratech PR46064T102CLASS A COM226,704$2.20M<0.1%+226,704New–
GGPIGores Guggenheim, Inc.CLASS A COM215,890$2.21M<0.1%+215,890NewHistory
DPCM Cap Inc23344P101COM CL A228,156$2.23M<0.1%00.0%Unchanged–
GLPIGaming & Leisure Properties, Inc.COM49,637$2.23M<0.1%+2,964+6.4%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM51,392$2.23M<0.1%−7,730−13.1%ReducedHistory
RYAAYRyanair Holdings PLCSPONSORED ADR20,650$2.24M<0.1%+237+1.2%AddedHistory
Vanguard Scottsdale FDS92206C599VNG RUS3000IDX11,300$2.24M<0.1%−5,880−34.2%Reduced–
MCFTMasterCraft Boat Holdings, Inc.COM89,425$2.24M<0.1%−1,300−1.4%ReducedHistory
RSKDRiskified Ltd.SHS CL A98,380$2.24M<0.1%+98,380NewHistory
Interprivate III Financial P46064R106COM CL A226,704$2.25M<0.1%+226,704New–
BKIBlack Knight, Inc.COM32,231$2.25M<0.1%+4,860+17.8%AddedHistory
MBUUMalibu Boats, Inc.COM CL A32,200$2.25M<0.1%00.0%UnchangedHistory
FDSFactset Research Systems IncStock5,857$2.25M<0.1%+628+12.0%AddedHistory
BEAMBeam Therapeutics Inc.COM26,533$2.26M<0.1%+725+2.8%AddedHistory
Vectoiq Acquisition Corp II92244F109COM CL A232,853$2.26M<0.1%+232,853New–
CGBDCarlyle Secured Lending, Inc.COM169,982$2.28M<0.1%−8,239−4.6%ReducedHistory
MMYTMakeMyTrip LtdStock86,887$2.30M<0.1%+4,884+6.0%AddedHistory
SCOAScION Tech Growth ICL A SHS237,522$2.31M<0.1%00.0%UnchangedHistory
TRCTejon Ranch CoCOM130,230$2.31M<0.1%−7,100−5.2%ReducedHistory
VVVValvoline IncCOM74,981$2.33M<0.1%−13,949−15.7%ReducedHistory
KRYSKrystal Biotech, Inc.COM45,246$2.35M<0.1%+583+1.3%AddedHistory
VALEVale S.A.SPONSORED ADS168,492$2.35M<0.1%+13,969+9.0%AddedHistory
INSPInspire Medical Systems, Inc.COM10,443$2.35M<0.1%−7,529−41.9%ReducedHistory
DBX ETF Tr233051879XTRACK HRVST CSI62,059$2.37M<0.1%−18,941−23.4%Reduced–
AMPAmeriprise Financial IncCOM14,697$2.37M<0.1%−230−1.5%ReducedHistory
MORNMorningstar, Inc.COM9,261$2.39M<0.1%+1,517+19.6%AddedHistory
VAQCVector Acquisition Corp IICL A SHS245,846$2.40M<0.1%00.0%UnchangedHistory
OSKOshkosh CorpCOM23,801$2.41M<0.1%+3,504+17.3%AddedHistory
PGCPeapack Gladstone Financial CorpCOM72,498$2.42M<0.1%+5,898+8.9%AddedHistory
IMBILegacy IMBDS, Inc.COM CL A424,000$2.44M<0.1%−1,000−0.2%ReducedHistory
PNNTPennantpark Investment CorpCOM375,756$2.44M<0.1%+4,133+1.1%AddedHistory
KTBKontoor Brands, Inc.Stock49,032$2.45M<0.1%−1,472−2.9%ReducedHistory
RVTYRevvity, Inc.COM15,039$2.47M<0.1%−2,502−14.3%ReducedHistory
MTLSMaterialise NVSPONSORED ADS123,138$2.48M<0.1%−13,491−9.9%ReducedHistory
FMCFMC CorpCOM NEW29,073$2.49M<0.1%+5,503+23.3%AddedHistory
ONEWOneWater Marine Inc.CL A COM62,363$2.51M<0.1%00.0%UnchangedHistory
Ion Acquisition Corp 2 LtdG49393104SHS CL A255,041$2.53M<0.1%+255,041New–
HUBBHubbell IncCOM14,381$2.53M<0.1%−1,411−8.9%ReducedHistory
CAGConagra Brands Inc.Stock77,296$2.56M<0.1%−104,059−57.4%ReducedHistory
Vanguard Morningstar Large-Cap ETF922908637ETF12,957$2.60M<0.1%+990+8.3%Added–
BKRBaker Hughes CoCL A112,418$2.62M<0.1%+4,903+4.6%AddedHistory
CANOCano Health, Inc.COM CL A209,386$2.65M<0.1%−25,251−10.8%ReducedHistory
WRBYWarby Parker Inc.CL A COM50,661$2.69M<0.1%+50,661NewHistory
TWSTTwist Bioscience CorpCOM25,607$2.70M<0.1%+25,607NewHistory
OSWOnespaworld Holdings LtdCOM275,606$2.71M<0.1%+7,259+2.7%AddedHistory
ACMAecomCOM43,133$2.72M<0.1%+18,775+77.1%AddedHistory
Royal Dutch Shell PLC780259206SPONS ADR A61,105$2.72M<0.1%−30,332−33.2%Reduced–
BLBlackline, Inc.COM23,430$2.76M<0.1%+4,062+21.0%AddedHistory
Royal Dutch Shell PLC780259107SPON ADR B62,396$2.76M<0.1%−132−0.2%Reduced–
LBTYKLiberty Global Ltd.SHS CL C95,320$2.77M<0.1%+79,530+503.7%AddedHistory
BTGB2GOLD CorpCOM809,696$2.77M<0.1%−41,060−4.8%ReducedHistory
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 18,193$2.77M<0.1%+1,199+17.1%AddedHistory
BHCBausch Health Companies Inc.Stock99,729$2.78M<0.1%−65,066−39.5%ReducedHistory
SWCHSwitch, Inc.CL A111,768$2.79M<0.1%−1,087−1.0%ReducedHistory
FNFFidelity National Financial, Inc.COM SHS62,429$2.82M<0.1%+15,001+31.6%AddedHistory
STXSeagate Technology Holdings plcORD SHS34,741$2.83M<0.1%−3,193−8.4%ReducedHistory
PSAGProperty Solutions Acquisition Corp. IICOM CL A292,605$2.83M<0.1%+292,605NewHistory
SNASnap-on IncCOM14,603$2.86M<0.1%−745−4.9%ReducedHistory
RILYBRC Group Holdings, Inc.COM48,531$2.87M<0.1%−694−1.4%ReducedHistory
COURCoursera, Inc.COM90,577$2.87M<0.1%+957+1.1%AddedHistory
Liberty Media Corp530715AG6DEB 4.000%11/1–$2.87M<0.1%–––
EXCExelon CorpStock64,767$2.87M<0.1%+1,454+2.3%AddedHistory
LVSLas Vegas Sands CorpCOM85,539$2.87M<0.1%−465,857−84.5%ReducedHistory
NDAQNasdaq, Inc.COM15,316$2.87M<0.1%+11,349+286.1%AddedHistory
SYFSynchrony FinancialCOM70,557$2.88M<0.1%−4,160−5.6%ReducedHistory
HTGCHercules Capital, Inc.COM174,292$2.90M<0.1%+2,980+1.7%AddedHistory
Vanguard Scottsdale FDS92206C730VNG RUS1000IDX14,466$2.90M<0.1%00.0%Unchanged–
SMPLSimply Good Foods CoCOM86,702$2.90M<0.1%−2,424−2.7%ReducedHistory
Senior Connect Acquisitn Cor81723H108COM CL A296,902$2.90M<0.1%00.0%Unchanged–
SLRCSLR Investment Corp.COM151,708$2.90M<0.1%−7,061−4.4%ReducedHistory
ARQTArcutis Biotherapeutics, Inc.COM122,087$2.92M<0.1%+871+0.7%AddedHistory
Marquee Raine Acquisition CoG58442107CL A SHS292,405$2.92M<0.1%00.0%Unchanged–
WSCWillScot Holdings CorpCOM CL A93,152$2.96M<0.1%−22,600−19.5%ReducedHistory
STESTERIS plcSHS USD14,933$2.97M<0.1%−2,957−16.5%ReducedHistory
KHCKraft Heinz CoStock85,058$2.97M<0.1%−7,590−8.2%ReducedHistory
KFYKorn FerryCOM NEW41,336$2.99M<0.1%+2,241+5.7%AddedHistory
FHNFirst Horizon CorpCOM186,569$3.00M<0.1%+285+0.2%AddedHistory
SMSISmith Micro Software, Inc.COM NEW620,139$3.00M<0.1%−30,422−4.7%ReducedHistory
DELLDell Technologies Inc.Stock29,342$3.01M<0.1%+25,333+631.9%AddedHistory
DBXDropbox, Inc.CL A104,955$3.07M<0.1%00.0%UnchangedHistory
BRBRBellring Brands, Inc.COM CL A103,403$3.07M<0.1%+60,690+142.1%AddedHistory
Ion Geophysical Corp462044AJ7NOTE 8.000%12/1–$3.08M<0.1%–––
SKYTSkyWater Technology, LLCCOM116,505$3.08M<0.1%−11,357−8.9%ReducedHistory
WIXWix.com Ltd.SHS16,462$3.10M<0.1%−67,181−80.3%ReducedHistory
Epiphany Technology Acquisit29429X109COM CL A318,802$3.12M<0.1%00.0%Unchanged–
ADMArcher-Daniels-Midland CoStock72,546$3.12M<0.1%−485,909−87.0%ReducedHistory
MGYMagnolia Oil & Gas CorpCL A177,742$3.14M<0.1%+177,742NewHistory
ETRNMidstream Co LLCCOM314,994$3.14M<0.1%+69,391+28.3%AddedHistory
SLBSLB LimitedStock124,087$3.15M<0.1%+15,964+14.8%AddedHistory
RYANRyan Specialty Holdings, Inc.CL A93,131$3.15M<0.1%+93,131NewHistory
ASXASE Technology Holding Co., Ltd.SPONSORED ADS408,042$3.17M<0.1%+26,161+6.9%AddedHistory
UFIUnifi IncCOM NEW146,483$3.21M<0.1%−11,931−7.5%ReducedHistory
DGXQuest Diagnostics IncCOM23,330$3.22M<0.1%+13,396+134.9%AddedHistory
TPVGTriplePoint Venture Growth BDC Corp.COM203,869$3.23M<0.1%+38,528+23.3%AddedHistory
OCSLOaktree Specialty Lending CorpCOM458,533$3.24M<0.1%−47,849−9.4%ReducedHistory

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