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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
BBDCBarings BDC, Inc.COM294,569$3.25M<0.1%−12,418−4.0%ReducedHistory
iShares Tr46428743220 YR TR BD ETF22,687$3.27M<0.1%−7,878−25.8%Reduced–
KEXKirby CorpCOM68,361$3.28M<0.1%+329+0.5%AddedHistory
ALRAlerisLife Inc.COM NEW758,745$3.32M<0.1%+387,860+104.6%AddedHistory
SJMJ M SMUCKER CoStock29,563$3.34M<0.1%−2,787−8.6%ReducedHistory
Vanguard Ftse Emerging Markets ETF922042858ETF67,753$3.39M<0.1%−477,706−87.6%Reduced–
RMDResmed IncCOM14,051$3.39M<0.1%+2,136+17.9%AddedHistory
WPMWheaton Precious Metals Corp.COM89,920$3.40M<0.1%−28,298−23.9%ReducedHistory
Teekay LNG Partners L PY8564M105PRTNRSP UNITS220,380$3.43M<0.1%−37,500−14.5%Reduced–
Peridot Acquisition Corp. IIG7008B105SHS CL A357,058$3.47M<0.1%+357,058New–
HOLXHologic IncCOM48,256$3.47M<0.1%−14,975−23.7%ReducedHistory
CBOECboe Global Markets, Inc.COM28,508$3.49M<0.1%+8,727+44.1%AddedHistory
iShares Russell 1000 Value ETF464287598ETF22,498$3.52M<0.1%+786+3.6%Added–
HEESH&E Equipment Services, Inc.COM103,647$3.53M<0.1%+103,647NewHistory
Dexcom Inc252131AK3NOTE 0.250%11/1–$3.54M<0.1%–––
CNCCentene CorpStock59,549$3.55M<0.1%+39,005+189.9%AddedHistory
BLMNBloomin' Brands, Inc.COM143,678$3.56M<0.1%+93,274+185.1%AddedHistory
NUENucor CorpCOM41,323$3.56M<0.1%+9,933+31.6%AddedHistory
SYYSysco CorpStock53,296$3.64M<0.1%+18,345+52.5%AddedHistory
TSNTyson Foods, Inc.Stock48,720$3.65M<0.1%+9,865+25.4%AddedHistory
RNRRenaissancere Holdings LtdCOM26,326$3.67M<0.1%+4,117+18.5%AddedHistory
OMCOmnicom Group Inc.COM50,844$3.68M<0.1%+812+1.6%AddedHistory
STLDSteel Dynamics IncCOM65,279$3.69M<0.1%−37,236−36.3%ReducedHistory
iShares Tr46435U853BROAD USD HIGH89,571$3.72M<0.1%00.0%Unchanged–
AES Corp00130H204UNIT 99/99/999938,565$3.72M<0.1%−2,845−6.9%Reduced–
NTESNetEase, Inc.SPONSORED ADS44,574$3.73M<0.1%+544+1.2%AddedHistory
TPTXTurning Point Therapeutics, Inc.COM57,867$3.74M<0.1%+1,800+3.2%AddedHistory
DORMDorman Products, Inc.COM39,789$3.76M<0.1%+320+0.8%AddedHistory
HLTHilton Worldwide Holdings Inc.COM32,872$3.79M<0.1%−314,681−90.5%ReducedHistory
APTSPreferred Apartment Communities IncCOM311,363$3.81M<0.1%−1,500−0.5%ReducedHistory
iShares Inc46434G772MSCI TAIWAN ETF61,575$3.82M<0.1%−37,100−37.6%Reduced–
STNStantec IncCOM81,189$3.82M<0.1%−6,418−7.3%ReducedHistory
KKRKKR & Co. Inc.COM63,808$3.82M<0.1%−475−0.7%ReducedHistory
GBDCGolub Capital BDC, Inc.COM241,957$3.83M<0.1%+225+0.1%AddedHistory
SIGSignet Jewelers LtdSHS49,185$3.83M<0.1%−6,875−12.3%ReducedHistory
AMEDAmedisys IncCOM26,064$3.83M<0.1%+221+0.9%AddedHistory
CAHCardinal Health IncStock78,978$3.84M<0.1%+159+0.2%AddedHistory
MTBM&T Bank CorpCOM26,574$3.89M<0.1%−1,073−3.9%ReducedHistory
FPHFive Point Holdings, LLCCOM CL A496,838$3.89M<0.1%−15,800−3.1%ReducedHistory
iShares Tr464288513IBOXX HI YD ETF44,531$3.90M<0.1%−151,901−77.3%Reduced–
APGAPi Group CorpCOM STK193,785$3.91M<0.1%+193,785NewHistory
IPGInterpublic Group of Companies, Inc.COM114,230$3.91M<0.1%+62,373+120.3%AddedHistory
Khosla Ventures Acquisition482504107CL A396,731$3.92M<0.1%00.0%Unchanged–
SAIASaia IncCOM16,885$3.94M<0.1%+16,885NewHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF263,605$3.96M<0.1%+129,900+97.2%Added–
ROCKGibraltar Industries, Inc.COM57,596$3.96M<0.1%+995+1.8%AddedHistory
APPNAppian CorpCL A43,882$3.97M<0.1%−68−0.2%ReducedHistory
CQPCheniere Energy Partners, L.P.COM UNIT98,925$4.02M<0.1%−4,706−4.5%ReducedHistory
TWINTwin Disc IncCOM380,798$4.03M<0.1%+40,610+11.9%AddedHistory
ALSumisho Air Lease CorpCL A105,571$4.06M<0.1%+2,832+2.8%AddedHistory
AEMAgnico Eagle Mines LtdStock78,751$4.08M<0.1%−14,851−15.9%ReducedHistory
STROSutro Biopharma, Inc.COM220,918$4.08M<0.1%+6,035+2.8%AddedHistory
Independence Holdings CorpG4761A101CLASS A ORD SHS418,566$4.09M<0.1%+418,566New–
Adit Edtech Acquisition Corp007024102COMMON STOCK425,069$4.14M<0.1%+425,069New–
CHTChunghwa Telecom Co LtdSPON ADR NEW11106,373$4.16M<0.1%+7,281+7.3%AddedHistory
UHSUniversal Health Services IncCL B30,829$4.17M<0.1%−10,847−26.0%ReducedHistory
WFGWest Fraser Timber Co., LtdCOM49,414$4.18M<0.1%+15,332+45.0%AddedHistory
LSTRLandstar System IncCOM27,039$4.20M<0.1%+587+2.2%AddedHistory
TXNMTXNM Energy IncCOM84,982$4.21M<0.1%−82,282−49.2%ReducedHistory
AFLAflac IncStock106,177$4.22M<0.1%−5,175−4.6%ReducedHistory
HELEHelen of Troy LtdStock19,195$4.23M<0.1%+427+2.3%AddedHistory
Nisource Inc.65473P121UNIT 12/01/202341,066$4.25M<0.1%+4,416+12.0%Added–
LUVSouthwest Airlines CoCOM84,749$4.25M<0.1%−4,298−4.8%ReducedHistory
TTITetra Technologies IncCOM1,364,267$4.26M<0.1%−65,542−4.6%ReducedHistory
CHTRCharter Communications, Inc.CL A7,095$4.28M<0.1%−82−1.1%ReducedHistory
iShares Tr464287739U.S. REAL ES ETF42,085$4.31M<0.1%−208−0.5%Reduced–
AZOAutoZone IncCOM3,206$4.31M<0.1%+39+1.2%AddedHistory
Blackstone Mtg Tr Inc09257WAB6NOTE 4.375% 5/04,250,000$4.31M<0.1%00.0%Unchanged–
CWSTCasella Waste Systems IncCL A58,559$4.37M<0.1%+1,352+2.4%AddedHistory
KSSKOHLS CorpStock93,393$4.38M<0.1%−8,708−8.5%ReducedHistory
OZKBank OZKCOM103,772$4.40M<0.1%−6,326−5.7%ReducedHistory
NUVANuvasive IncCOM74,930$4.41M<0.1%−27,762−27.0%ReducedHistory
SSentinelOne, Inc.CL A82,385$4.41M<0.1%+71,385+649.0%AddedHistory
WUWestern Union COStock219,275$4.42M<0.1%+3,820+1.8%AddedHistory
Stanley Black & Decker, Inc.854502846UNIT 11/15/202242,148$4.44M<0.1%+1,225+3.0%Added–
PRIPrimerica, Inc.Stock29,440$4.44M<0.1%−1,726−5.5%ReducedHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF71,057$4.44M<0.1%−15,943−18.3%Reduced–
South Jersey Inds Inc838518306UNIT 04/01/202492,300$4.47M<0.1%+3,000+3.4%Added–
WENWendy's CoStock207,496$4.50M<0.1%−17,542−7.8%ReducedHistory
AGYSAgilysys IncCOM87,791$4.54M<0.1%+1,469+1.7%AddedHistory
BROBrown & Brown, Inc.Stock84,146$4.56M<0.1%+63,390+305.4%AddedHistory
PHParker-Hannifin CorpStock21,457$4.57M<0.1%−141,630−86.8%ReducedHistory
GDSGDS Holdings LtdSPONSORED ADS81,106$4.57M<0.1%−295,053−78.4%ReducedHistory
BRSPBrightSpire Capital, Inc.COM CL A487,017$4.57M<0.1%00.0%UnchangedHistory
NFGNational Fuel Gas CoStock88,795$4.60M<0.1%+14,783+20.0%AddedHistory
BAXBaxter International IncStock58,876$4.62M<0.1%−16,302−21.7%ReducedHistory
FMXMexican Economic Development IncSPON ADR UNITS53,516$4.62M<0.1%+2,260+4.4%AddedHistory
TRIThomson Reuters CorpCOM NEW41,933$4.64M<0.1%+29,854+247.2%AddedHistory
CLXClorox CoStock29,151$4.67M<0.1%−187−0.6%ReducedHistory
WINGWingstop Inc.COM29,782$4.80M<0.1%+1,628+5.8%AddedHistory
SHGShinhan Financial Group Co LtdSPN ADR RESTRD144,400$4.80M<0.1%+10,074+7.5%AddedHistory
FSTFAST Acquisition Corp.COM CL A400,000$4.80M<0.1%00.0%UnchangedHistory
RDYDr Reddys Laboratories LtdADR74,157$4.81M<0.1%−56,292−43.2%ReducedHistory
MCMoelis & CoCL A78,627$4.87M<0.1%+9,768+14.2%AddedHistory
KRTXKaruna Therapeutics, Inc.COM41,165$4.92M<0.1%+5,821+16.5%AddedHistory
VTRSViatris IncStock373,898$4.94M<0.1%−73,979−16.5%ReducedHistory
OGEOGE Energy Corp.COM150,649$4.95M<0.1%+572+0.4%AddedHistory
AMCRAmcor plcORD442,990$4.99M<0.1%−37,134−7.7%ReducedHistory
MEDPMedpace Holdings, Inc.COM26,950$5.03M<0.1%+2,368+9.6%AddedHistory
DIBS1stdibs.com, Inc.COM411,012$5.04M<0.1%+1,835+0.4%AddedHistory

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