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Livermore
ZHEN

Neuberger Berman Group LLC

SEC CIK
0001465109
Latest filing
Aug 13, 2026

Holdings in Q1 2023

Holdings as of Mar 31, 2023, filed May 12, 2023. Long positions only; changes compare share counts with Q4 2022.

Institution overview
Positions
1,804
+21 vs. Q4 2022
Portfolio value
$107.8B
+$5.83B (+5.7%) vs. Q4 2022
Filed
May 12, 2023
SEC
Holdings of Neuberger Berman Group LLC in Q1 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
Offerpad Solutions Inc.67623L117*W EXP 10/16/20211,388$456<0.1%00.0%Unchanged–
GROVWGrove Collaborative Holdings, Inc.*W EXP 06/16/20211,992$651<0.1%00.0%UnchangedHistory
Bird Global, Inc.09077J115*W EXP 01/07/20224,183$725<0.1%00.0%Unchanged–
Embark Technolog29079J111EQUITY WRT45,075$847<0.1%00.0%Unchanged–
Finserv Acquisition Corp. II31809Y111*W EXP 02/17/20221,034$888<0.1%00.0%Unchanged–
Getaround, Inc37427G119*W EXP 03/09/20234,005$1.60K<0.1%00.0%Unchanged–
Innovid Corp.457679116*W EXP 02/17/20223,664$2.01K<0.1%00.0%Unchanged–
Churchill Capital Corp VII17144M110*W EXP 02/29/20218,560$2.27K<0.1%00.0%Unchanged–
Virgin Orbit Holdings, Inc.92771A119*W EXP 99/99/99953,014$2.50K<0.1%00.0%Unchanged–
Moringa Acquisition CorpG6S23K124*W EXP 02/22/20231,552$2.81K<0.1%00.0%Unchanged–
Interprivate IV Infratech PR46064T110*W EXP 03/05/20233,655$3.03K<0.1%00.0%Unchanged–
Interprivate III Financial P46064R114*W EXP 99/99/99933,655$3.20K<0.1%00.0%Unchanged–
Social Leverage Acquisn Corp83363K110*W EXP 02/17/20235,496$3.80K<0.1%00.0%Unchanged–
Senior Connect Acquisitn Cor81723H116*W EXP 12/31/202110,192$4.31K<0.1%00.0%Unchanged–
Sunlight Financi86738J114EQUITY WRT127,648$4.38K<0.1%00.0%Unchanged–
Liberty Media Corp530715AG6DEB 4.000%11/1–$5.38K<0.1%–––
UAVSAgEagle Aerial Systems Inc.COM12,018$5.41K<0.1%00.0%UnchangedHistory
D-Wave Quantum Inc.26740W117*W EXP 08/05/20276,435$5.50K<0.1%00.0%Unchanged–
VTGNVistagen Therapeutics, Inc.COM NEW67,530$8.42K<0.1%+67,530NewHistory
NBISNebius Group N.V.Stock33,384$8.59K<0.1%−979−2.8%ReducedHistory
Affimed N VN01045108COM12,274$9.15K<0.1%+12,274New–
CANOCano Health, Inc.COM CL A10,150$9.24K<0.1%00.0%UnchangedHistory
VXRTVaxart, Inc.COM NEW12,668$9.59K<0.1%+12,668NewHistory
FAST Acquisition Corp. II311874119*W EXP 03/16/20228,397$9.81K<0.1%00.0%Unchanged–
Adit Edtech Acquisition Corp007024110*W EXP 99/99/999157,761$12.6K<0.1%00.0%Unchanged–
BOXDBoxed, Inc.COM78,683$14.9K<0.1%+78,683NewHistory
TELLTellurian Inc.COM12,196$15.0K<0.1%−30−0.2%ReducedHistory
KINSKingstone Companies, Inc.COM14,875$19.9K<0.1%00.0%UnchangedHistory
Ares Acquisition CorporationG33032122*W EXP 99/99/99925,242$22.2K<0.1%00.0%Unchanged–
GERNGeron CorpCOM10,243$22.2K<0.1%+10,243NewHistory
OPENOpendoor Technologies Inc.COM12,845$22.6K<0.1%+12,845NewHistory
GALTGalectin Therapeutics IncCOM NEW11,614$24.4K<0.1%−2,000−14.7%ReducedHistory
DMDesktop Metal, Inc.COM CL A11,598$26.7K<0.1%+11,598NewHistory
UECUranium Energy CorpCOM10,701$30.8K<0.1%+10,701NewHistory
CGTXCognition Therapeutics IncCOM15,884$31.4K<0.1%+15,884NewHistory
COMPCompass, Inc.CL A10,869$35.1K<0.1%+10,869NewHistory
FCELFuelcell Energy IncCOM13,356$38.1K<0.1%+13,356NewHistory
AMRNAmarin Corp PLCSPONS ADR NEW28,754$43.1K<0.1%00.0%UnchangedHistory
CMLSQCumulus Media IncCOM CL A12,091$44.6K<0.1%00.0%UnchangedHistory
DBTXDecibel Therapeutics, Inc.COM15,661$47.3K<0.1%−600−3.7%ReducedHistory
MFGMizuho Financial Group IncSPONSORED ADR16,918$47.7K<0.1%+2,832+20.1%AddedHistory
LUMNLumen Technologies, Inc.Stock20,251$53.7K<0.1%+2,490+14.0%AddedHistory
GSATGlobalstar, Inc.COM48,892$56.7K<0.1%+3,255+7.1%AddedHistory
XPLSolitario Resources Corp.COM87,056$57.6K<0.1%00.0%UnchangedHistory
EAFGraftech International LtdCOM12,462$60.6K<0.1%+12,462NewHistory
OPRTOportun Financial CorpCOM16,136$62.3K<0.1%−349−2.1%ReducedHistory
HBMHudbay Minerals Inc.COM12,348$64.7K<0.1%−19,106−60.7%ReducedHistory
HBIHanesbrands Inc.COM14,026$73.8K<0.1%−2,755−16.4%ReducedHistory
BRMKBroadmark Realty Capital Inc.COM17,166$80.7K<0.1%+2,820+19.7%AddedHistory
PUMPProPetro Holding Corp.COM11,299$81.2K<0.1%+11,299NewHistory
HLHecla Mining CoCOM13,024$82.4K<0.1%+13,024NewHistory
SBIGSBIG Holdings, Inc.COMMON STOCK123,328$82.9K<0.1%00.0%UnchangedHistory
SMFGSumitomo Mitsui Financial Group, Inc.SPONSORED ADR10,576$84.6K<0.1%+10,576NewHistory
GSMFerroglobe PLCSHS17,800$87.9K<0.1%+17,800NewHistory
SANBanco Santander, S.A.ADR26,266$96.9K<0.1%+1,615+6.6%AddedHistory
Whole Earth Brands, Inc.96684W126*W EXP 06/25/2021,202,983$98.2K<0.1%00.0%Unchanged–
MBIMbia IncCOM10,615$98.3K<0.1%00.0%UnchangedHistory
ZUOZuora IncCOM CL A10,168$100.5K<0.1%+10,168NewHistory
SGHCSuper Group (SGHC) LtdORD SHS25,800$104.0K<0.1%00.0%UnchangedHistory
AIRGAirgain IncCOM20,000$107.4K<0.1%00.0%UnchangedHistory
NRONeuberger Real Estate Securities Income Fund IncCOM38,500$118.6K<0.1%−3,649−8.7%ReducedHistory
MUFGMitsubishi Ufj Financial Group IncSPONSORED ADS20,258$129.4K<0.1%+2,230+12.4%AddedHistory
MACMacerich CoCOM12,378$131.2K<0.1%+12,378NewHistory
INNSummit Hotel Properties, Inc.COM18,822$131.8K<0.1%−713−3.6%ReducedHistory
Livevox Holding Inc53838L118*W EXP 06/18/202402,900$137.0K<0.1%−40,792−9.2%Reduced–
BURBurford Capital LtdORD SHS12,445$137.6K<0.1%00.0%UnchangedHistory
EBCEastern Bankshares, Inc.COM11,841$149.4K<0.1%−859−6.8%ReducedHistory
NEXNextier Oilfield Solutions Inc.COM19,187$152.5K<0.1%+19,187NewHistory
NRGVEnergy Vault Holdings, Inc.COM71,360$152.7K<0.1%+4,685+7.0%AddedHistory
IRIXIridex CorpCOM75,850$154.0K<0.1%00.0%UnchangedHistory
Aris Water Solutions, Inc.04041L106CLASS A COM20,251$157.8K<0.1%+9,044+80.7%Added–
HLFHerbalife Ltd.COM SHS10,103$162.7K<0.1%+10,103NewHistory
IVACIntevac IncCOM22,400$164.2K<0.1%00.0%UnchangedHistory
NVGSNavigator Holdings Ltd.SHS11,925$166.9K<0.1%00.0%UnchangedHistory
PSLVSprott Physical Silver TrustPHYSICAL SILVER20,123$167.8K<0.1%+123+0.6%AddedHistory
First Tr Exch Traded FD III33739E108PFD SECS INC ETF10,670$170.3K<0.1%00.0%Unchanged–
AUDCAudiocodes LtdORD11,730$176.9K<0.1%+884+8.2%AddedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A28,192$177.0K<0.1%+4,071+16.9%AddedHistory
SSRMSSR Mining Inc.Stock11,794$178.1K<0.1%−29,625−71.5%ReducedHistory
CLSCelestica IncSUB VTG SHS13,930$179.4K<0.1%+227+1.7%AddedHistory
GTESGates Industrial Corp Ltd.ORD SHS13,029$181.0K<0.1%−14,736−53.1%ReducedHistory
LSPDLightspeed Commerce Inc.SUB VTG SHS11,959$181.6K<0.1%−1,309−9.9%ReducedHistory
AHCOAdaptHealth Corp.COMMON STOCK15,000$186.4K<0.1%+938+6.7%AddedHistory
HEPHolly Energy Partners LPCOM UT LTD PTN10,800$187.6K<0.1%−200−1.8%ReducedHistory
SPCEVirgin Galactic Holdings, IncCOM46,872$189.8K<0.1%+30,660+189.1%AddedHistory
BBCPConcrete Pumping Holdings, Inc.COM27,938$190.0K<0.1%00.0%UnchangedHistory
OROR Royalties Inc.COM12,407$195.8K<0.1%+12,407NewHistory
SITCSITE Centers Corp.COM16,037$196.9K<0.1%+3,322+26.1%AddedHistory
RIVNRivian Automotive, Inc.Stock12,825$198.5K<0.1%−8,484−39.8%ReducedHistory
PLUGPlug Power IncStock16,983$199.0K<0.1%−14,242−45.6%ReducedHistory
RITMRithm Capital Corp.REIT24,988$199.9K<0.1%+3,889+18.4%AddedHistory
JWNNordstrom IncStock12,405$201.8K<0.1%+50+0.4%AddedHistory
DERMJourney Medical CorpCOM128,829$202.3K<0.1%−3,592−2.7%ReducedHistory
EXELExelixis, Inc.COM10,423$202.3K<0.1%+10,423NewHistory
iShares Core Dividend Growth ETF46434V621ETF4,054$202.7K<0.1%+4,054New–
Starz Entertainment Corp535919401CL A VTG18,330$202.9K<0.1%+864+4.9%Added–
FLSFlowserve CorpCOM5,986$203.5K<0.1%+5,986NewHistory
IDCCInterDigital, Inc.COM2,801$204.2K<0.1%+2,801NewHistory
WHRWhirlpool CorpStock1,549$204.5K<0.1%−26−1.7%ReducedHistory
LBTYALiberty Global Ltd.SHS CL A10,519$205.1K<0.1%+50.0%AddedHistory

Options (4)

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 Q1 2023
SecurityClassPutsCalls
iShares Tr46428743220 YR TR BD ETF$311.6K–
TMUST-Mobile US, Inc.Stock$264.8K–
ATVIActivision Blizzard, Inc.COM$242.0K–
Invesco QQQ Trust Series I46090E103ETF–$235.3K

Sold out since Q4 2022 (98)

Positions held at the end of Q4 2022 that are gone from this filing.

Positions of Neuberger Berman Group LLC sold out since Q4 2022
SecurityClassShares in Q4 2022Value in Q4 2022% of portfolio in Q4 2022History
SIVBSVB Financial GroupCOM533,289$122.7M0.1%History
PAYAPaya Holdings Inc.COM CL A5,980,025$47.1M<0.1%History
CERTCertara, Inc.COM1,339,633$21.5M<0.1%History
AIMCAltra Industrial Motion Corp.COM210,137$12.6M<0.1%History
Independence Holdings CorpG4761A119UNIT 03/02/20261,211,385$12.2M<0.1%–
SHOSunstone Hotel Investors, Inc.COM1,185,790$11.5M<0.1%History
COUPCoupa Software IncCOM134,373$10.6M<0.1%History
RADIRadius Global Infrastructure, Inc.COM CL A861,093$10.2M<0.1%History
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF65,715$4.90M<0.1%–
Alps ETF Tr00162Q452ALERIAN MLP107,926$4.11M<0.1%–
XNCRXencor IncCOM145,641$3.79M<0.1%History
ZWSZurn Elkay Water Solutions CorpCOM161,676$3.42M<0.1%History
HASHasbro, Inc.COM51,465$3.14M<0.1%History
NUVANuvasive IncCOM75,058$3.10M<0.1%History
SBCFSeacoast Banking Corp of FloridaCOM NEW92,421$2.88M<0.1%History
HELEHelen of Troy LtdStock24,667$2.74M<0.1%History
Vanguard World FD921910733ESG US STK ETF41,521$2.73M<0.1%–
Independence Holdings CorpG4761A101CLASS A ORD SHS267,966$2.70M<0.1%–
Adit Edtech Acquisition Corp007024102COMMON STOCK268,194$2.68M<0.1%–
IAAIAA, Inc.COM65,471$2.62M<0.1%History
iShares Russell 2000 Growth ETF464287648ETF10,935$2.35M<0.1%–
DBDDiebold Nixdorf, IncCOM1,538,446$2.19M<0.1%History
CHGGChegg, IncCOM76,013$1.92M<0.1%History
VanEck Semiconductor ETF92189F676ETF9,229$1.87M<0.1%–
VAQCVector Acquisition Corp IICL A SHS155,114$1.57M<0.1%History
Signature BK New York N Y82669G104COM13,199$1.52M<0.1%–
Interprivate IV Infratech PR46064T102CLASS A COM143,036$1.45M<0.1%–
Interprivate III Financial P46064R106COM CL A143,036$1.44M<0.1%–
SUZSuzano S.A.SPON ADS145,223$1.34M<0.1%History
iShares Tr46435G672CORE INTL AGGR28,138$1.34M<0.1%–
Social Leverage Acquisn Corp83363K102COM CL A120,687$1.21M<0.1%–
STORStore Capital LLCCOM33,716$1.08M<0.1%History
Ares Acquisition CorporationG33032106COM CL A107,278$1.08M<0.1%–
DCTDuck Creek Technologies, Inc.SHS84,456$1.02M<0.1%History
iShares Tr464288885EAFE GRWTH ETF11,967$1.00M<0.1%–
FZTFAST Acquisition Corp. IICL A96,550$966.5K<0.1%History
SCOBScION Tech Growth IICL A SHS83,811$848.2K<0.1%History
ATHMAutohome Inc.SP ADS RP CL A26,853$821.7K<0.1%History
Advanced Micro Devices Inc007903BD8NOTE 2.125% 9/0–$810.0K<0.1%–
DGNUDragoneer Growth Opportunities Corp. IIICL A SHS79,122$780.1K<0.1%History
OIO-I Glass, Inc.COM46,004$762.3K<0.1%History
FSRXFinserv Acquisition Corp. IICOM CL A71,518$717.3K<0.1%History
PENNPENN Entertainment, Inc.COM23,184$688.6K<0.1%History
SYNASYNAPTICS IncStock6,624$630.3K<0.1%History
PNNTPennantpark Investment CorpCOM101,617$584.3K<0.1%History
Ci Finl Corp125491100COM57,913$577.4K<0.1%–
WALWestern Alliance BancorporationCOM9,635$573.9K<0.1%History
COWNCowen Inc.CL A NEW14,155$546.7K<0.1%History
TOSTToast, Inc.Stock28,529$514.4K<0.1%History
Nextera Energy Inc65339F770UNIT 99/99/99999,435$478.4K<0.1%–
WUWestern Union COStock28,721$395.5K<0.1%History
ESTCElastic N.V.ORD SHS7,288$375.3K<0.1%History
WMSAdvanced Drainage Systems, Inc.COM4,545$372.6K<0.1%History
AAWWAtlas Air Worldwide Holdings IncCOM NEW3,564$359.3K<0.1%History
Invesco Exch Traded FD Tr II46138E628KBW BK ETF6,155$317.7K<0.1%–
EPREpr PropertiesCOM SH BEN INT7,826$295.2K<0.1%History
HRHealthcare Realty Trust IncCL A COM15,223$293.3K<0.1%History
PINCPremier, Inc.CL A8,276$289.5K<0.1%History
HWCHancock Whitney CorpCOM5,764$278.9K<0.1%History
PDCEPDC Energy, Inc.COM4,380$278.0K<0.1%History
COTYCoty Inc.COM CL A32,420$277.5K<0.1%History
Teradyne, Inc880770AG7NOTE 1.250%12/1–$275.0K<0.1%–
SMSM Energy CoCOM7,869$274.1K<0.1%History
Vanguard Total International Bond ETF92203J407ETF5,571$264.2K<0.1%–
iShares Tr464287515EXPANDED TECH1,032$264.0K<0.1%–
South Jersey Inds Inc838518306UNIT 04/01/20243,800$262.3K<0.1%–
iShares Inc464286780MSCI STH AFR ETF6,011$254.9K<0.1%–
KALUKaiser Aluminum CorpCOM PAR $0.013,172$240.9K<0.1%History
ELANElanco Animal Health IncCOM19,584$239.3K<0.1%History
AGOAssured Guaranty LtdCOM3,748$233.3K<0.1%History
EPRTEssential Properties Realty Trust, Inc.COM9,778$229.5K<0.1%History
HTDJohn Hancock Tax-Advantaged Dividend Income FundCOM9,900$226.3K<0.1%History
THRMGentherm IncCOM3,373$220.2K<0.1%History
BKHBlack Hills CorpCOM3,077$216.5K<0.1%History
KRGKite Realty Group TrustCOM NEW9,590$201.9K<0.1%History
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG2,645$201.4K<0.1%–
DISHDISH Network CORPCL A14,332$201.2K<0.1%History
VODVodafone Group Public Ltd CoADR17,774$179.9K<0.1%History
EGOEldorado Gold CorpCOM19,290$160.7K<0.1%History
DBRGDigitalBridge Group, Inc.CL A NEW14,360$157.1K<0.1%History
Patrick Inds Inc703343AB9DBCV 1.000% 2/0–$128.8K<0.1%–
DHYUBS Asset Management High Yield Credit FundSH BEN INT58,980$103.8K<0.1%History
BBBLACKBERRY LtdCOM31,385$102.2K<0.1%History
Tricon Residential Inc Com NPV89612W102COM11,910$91.8K<0.1%–
ETRNMidstream Co LLCCOM13,507$90.5K<0.1%History
AGFirst Majestic Silver CorpCOM10,340$86.1K<0.1%History
NGNovagold Resources IncCOM NEW14,193$84.7K<0.1%History
KRROKorro Bio, Inc.COM20,000$77.0K<0.1%History
ROVRRover Group, Inc.COMMON STOCK10,980$40.3K<0.1%History
QVCGAOld QVC Group, Inc.COM SER A18,217$29.7K<0.1%History
ContextLogic Inc.21077C107COM CL A10,085$4.92K<0.1%–
Peridot Acquisition Corp. IIG7008B121*W EXP 04/30/20253,008$2.48K<0.1%–
CRBPCorbus Pharmaceuticals Holdings, Inc.COM20,000$2.21K<0.1%History
BZFDWBuzzFeed, Inc.*W EXP 99/99/99942,069$1.68K<0.1%History
CORZCore Scientific, Inc.COMMON STOCK16,355$1.23K<0.1%History
Independence Holdings CorpG4761A127*W EXP 03/31/20262,680$383<0.1%–
Epiphany Technology Acquisit29429X117*W EXP 01/12/20278,880$181<0.1%–
ScION Tech Growth IIG31070116*W EXP 01/28/20232,867$118<0.1%–