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Livermore
Livermore
ZHEN

CWM, LLC

SEC CIK
0001535847
Latest filing
May 14, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Sep 15, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
3,008
0 vs. Q1 2021
Portfolio value
$12.5B
$0 (0.0%) vs. Q1 2021
Filed
Sep 15, 2021
AmendedSEC
Holdings of CWM, LLC in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
MGIMoneygram International IncCOM NEW5$00.0%00.0%UnchangedHistory
NGLNGL Energy Partners LPCOM UNIT REPST200$00.0%00.0%UnchangedHistory
NAVNavistar International CorpCOM3$00.0%00.0%UnchangedHistory
NDLSNOODLES & CoCOM CL A1$00.0%00.0%UnchangedHistory
PHDPioneer Floating Rate Fund, Inc.COM16$00.0%00.0%UnchangedHistory
MAVPioneer Municipal High Income Advantage Fund, Inc.COM14$00.0%00.0%UnchangedHistory
PCHPotlatchdeltic CorpCOM4$00.0%00.0%UnchangedHistory
PULMPulmatrix, Inc.COM NEW200$00.0%00.0%UnchangedHistory
SWISolarWinds CorpCOM10$00.0%00.0%UnchangedHistory
SPPISpectrum Pharmaceuticals IncCOM12$00.0%00.0%UnchangedHistory
SABASaba Capital Income & Opportunities Fund IICOM49$00.0%00.0%UnchangedHistory
Tortoise Essential Assets IN89148A103COM SH BEN INT6$00.0%00.0%Unchanged–
TPTXTurning Point Therapeutics, Inc.COM4$00.0%00.0%UnchangedHistory
Two Harbors Investment Corp.90187B408COM NEW13$00.0%00.0%Unchanged–
VLDRVelodyne Lidar, Inc.COM1$00.0%00.0%UnchangedHistory
VRNTVerint Systems IncCOM2$00.0%00.0%UnchangedHistory
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM54$00.0%00.0%UnchangedHistory
IDEVoya Infrastructure, Industrials & Materials FundCOM13$00.0%00.0%UnchangedHistory
VRMVroom, Inc.COM4$00.0%00.0%UnchangedHistory
Washington Prime Group Inc.93964W405COM69$00.0%00.0%Unchanged–
SPRUSpruce Power Holding CorpCOM CL A1$00.0%00.0%UnchangedHistory
YELLQYellow CorpCOM3$00.0%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM166$00.0%00.0%UnchangedHistory
Golden Ocean Group LtdG39637205SHS NEW38$00.0%00.0%Unchanged–
Redball Acquisition CorpG7417R113*W EXP 08/17/202100$00.0%00.0%Unchanged–
Reinvent Technology PartnersG7483N129CL A50$00.0%00.0%Unchanged–
TPGYTPG Pace Beneficial Finance Corp.CL A COM1$00.0%00.0%UnchangedHistory
TOPSTop Ships Inc.COM208$00.0%00.0%UnchangedHistory
Beachbody Company, Inc.073463101COM CL A1$00.0%00.0%Unchanged–
PTIXProtagenic Therapeutics, Inc.COM3$00.0%00.0%UnchangedHistory
BRWSaba Capital Income & Opportunities FundSHARES54$00.0%00.0%UnchangedHistory
Brookfield Asset Mgmt ReinsG16169107CL A EXCH LT VTG2$00.0%00.0%Unchanged–
Valaris LtdG9460G119*W EXP 04/29/20217$00.0%00.0%Unchanged–
GTXGarrett Motion Inc.Stock69$1.00K<0.1%00.0%UnchangedHistory
SOFISoFi Technologies, Inc.Stock50$1.00K<0.1%00.0%UnchangedHistory
BLDRBuilders FirstSource, Inc.Stock20$1.00K<0.1%00.0%UnchangedHistory
AVNSAvanos Medical, Inc.Stock37$1.00K<0.1%00.0%UnchangedHistory
DASHDoorDash, Inc.Stock3$1.00K<0.1%00.0%UnchangedHistory
EMBJEmbraer S.A.ADR57$1.00K<0.1%00.0%UnchangedHistory
ESLTElbit Systems LtdStock8$1.00K<0.1%00.0%UnchangedHistory
WAFDWafd IncStock37$1.00K<0.1%00.0%UnchangedHistory
ATECAlphatec Holdings, Inc.COM NEW83$1.00K<0.1%00.0%UnchangedHistory
DBAInvesco DB Agriculture FundAGRICULTURE FD30$1.00K<0.1%00.0%UnchangedHistory
WMGWarner Music Group Corp.COM CL A17$1.00K<0.1%00.0%UnchangedHistory
MMSIMerit Medical Systems IncCOM22$1.00K<0.1%00.0%UnchangedHistory
SPDR Index Shs FDS78463X533ST MAR DIVID ETF48$1.00K<0.1%00.0%Unchanged–
iShares Inc46434G780MSCI SINGPOR ETF45$1.00K<0.1%00.0%Unchanged–
ARDCAres Dynamic Credit Allocation Fund, Inc.COM56$1.00K<0.1%00.0%UnchangedHistory
WLKWestlake CorpCOM10$1.00K<0.1%00.0%UnchangedHistory
iShares U S ETF Tr46431W705INT RT HDG C B9$1.00K<0.1%00.0%Unchanged–
NGVTIngevity CorpCOM8$1.00K<0.1%00.0%UnchangedHistory
iShares Tr464288695GLOBAL MATER ETF11$1.00K<0.1%00.0%Unchanged–
VSHVishay Intertechnology IncCOM62$1.00K<0.1%00.0%UnchangedHistory
TENTsakos Energy Navigation LtdSHS95$1.00K<0.1%00.0%UnchangedHistory
RPRXRoyalty Pharma plcSHS CLASS A15$1.00K<0.1%00.0%UnchangedHistory
MSGSMadison Square Garden Sports Corp.CL A4$1.00K<0.1%00.0%UnchangedHistory
FMXMexican Economic Development IncSPON ADR UNITS16$1.00K<0.1%00.0%UnchangedHistory
PMLPIMCO Municipal Income Fund IICOM59$1.00K<0.1%00.0%UnchangedHistory
EVVEaton Vance Ltd Duration Income FundCOM55$1.00K<0.1%00.0%UnchangedHistory
EODAllspring Global Dividend Opportunity FundCOM253$1.00K<0.1%00.0%UnchangedHistory
SPDR Series Trust78468R200ST STR RATE ETF29$1.00K<0.1%00.0%Unchanged–
ACIAlbertsons Companies, Inc.COMMON STOCK32$1.00K<0.1%00.0%UnchangedHistory
LKQLKQ CorpCOM30$1.00K<0.1%00.0%UnchangedHistory
WBWEIBO CorpSPONSORED ADR18$1.00K<0.1%00.0%UnchangedHistory
GPKGraphic Packaging Holding CoCOM68$1.00K<0.1%00.0%UnchangedHistory
WATWaters CorpCOM3$1.00K<0.1%00.0%UnchangedHistory
MGYMagnolia Oil & Gas CorpCL A42$1.00K<0.1%00.0%UnchangedHistory
SFNCSimmons First National CorpCL A $1 PAR43$1.00K<0.1%00.0%UnchangedHistory
ISDPGIM High Yield Bond Fund, Inc.COM82$1.00K<0.1%00.0%UnchangedHistory
HUBBHubbell IncCOM3$1.00K<0.1%00.0%UnchangedHistory
ARIApollo Commercial Real Estate Finance, Inc.COM94$1.00K<0.1%00.0%UnchangedHistory
EGOEldorado Gold CorpCOM60$1.00K<0.1%00.0%UnchangedHistory
VCYTVeracyte, Inc.COM33$1.00K<0.1%00.0%UnchangedHistory
BRXBrixmor Property Group Inc.COM59$1.00K<0.1%00.0%UnchangedHistory
KRCKilroy Realty CorpCOM18$1.00K<0.1%00.0%UnchangedHistory
STMSTMicroelectronics N.V.NY REGISTRY33$1.00K<0.1%00.0%UnchangedHistory
FLSFlowserve CorpCOM21$1.00K<0.1%00.0%UnchangedHistory
PRSUPursuit Attractions & Hospitality, Inc.COM14$1.00K<0.1%00.0%UnchangedHistory
HYTBlackRock Corporate High Yield Fund, Inc.COM86$1.00K<0.1%00.0%UnchangedHistory
DKDelek US Holdings, Inc.COM46$1.00K<0.1%00.0%UnchangedHistory
AXTAAxalta Coating Systems Ltd.COM36$1.00K<0.1%00.0%UnchangedHistory
iShares Tr464288851US OIL GS EX ETF11$1.00K<0.1%00.0%Unchanged–
PAHCPhibro Animal Health CorpCL A COM22$1.00K<0.1%00.0%UnchangedHistory
BFHBread Financial Holdings, Inc.COM7$1.00K<0.1%00.0%UnchangedHistory
RRRRed Rock Resorts, Inc.CL A28$1.00K<0.1%00.0%UnchangedHistory
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF10$1.00K<0.1%00.0%Unchanged–
MPLXMPLX LPCOM UNIT REP LTD50$1.00K<0.1%00.0%UnchangedHistory
SPDR Index Shs FDS78463X434ST STR MSCI EAFE10$1.00K<0.1%00.0%Unchanged–
LEVILevi Strauss & CoCL A COM STK48$1.00K<0.1%00.0%UnchangedHistory
VCVisteon CorpCOM NEW5$1.00K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138G664S&P SMALLCAP 6009$1.00K<0.1%00.0%Unchanged–
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF14$1.00K<0.1%00.0%Unchanged–
ADXAdams Diversified Equity Fund, Inc.COM28$1.00K<0.1%00.0%UnchangedHistory
WTWisdomTree, Inc.COM227$1.00K<0.1%00.0%UnchangedHistory
JGHNuveen Global High Income FundSHS52$1.00K<0.1%00.0%UnchangedHistory
ACVVirtus Diversified Income & Convertible FundCOM27$1.00K<0.1%00.0%UnchangedHistory
REALTheRealReal, Inc.COM29$1.00K<0.1%00.0%UnchangedHistory
IBRXImmunityBio, Inc.COM100$1.00K<0.1%00.0%UnchangedHistory
HIWHighwoods Properties, Inc.COM13$1.00K<0.1%00.0%UnchangedHistory
KBHKB HomeCOM36$1.00K<0.1%00.0%UnchangedHistory

Options (40)

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

Option positions of CWM, LLC in Q2 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$784.0K$19.2M
AMCAMC Entertainment Holdings, Inc.CL A COM–$49.0K
USOUnited States Oil Fund, LPUNITS–$24.0K
AMZNAmazon Com IncStock–$11.0K
INTCIntel CorpStock$11.0K–
METAMeta Platforms, Inc.Stock$3.00K$5.00K
DOCUDocuSign, Inc.Stock–$8.00K
AMDAdvanced Micro Devices IncStock–$7.00K
PLTRPalantir Technologies Inc.Stock–$7.00K
PINSPinterest, Inc.CL A–$7.00K
SNAPSnap IncStock–$5.00K
FFord Motor CoStock–$5.00K
Global X Lithium & Battery Tech ETF37954Y855ETF–$5.00K
TGTTarget CorpStock–$5.00K
LYFTLyft, Inc.CL A COM–$5.00K
SONYSony Group CorpSPONSORED ADR–$5.00K
AAPLApple Inc.Stock–$4.00K
FSLYFastly, Inc.CL A–$4.00K
TLRYTilray Brands, Inc.COM CL 2–$4.00K
SPCEVirgin Galactic Holdings, IncCOM–$4.00K
MSFTMicrosoft CorpStock$3.00K–
UBERUber Technologies, IncStock–$3.00K
CLOVClover Health Investments, Corp.COM CL A–$3.00K
VanEck Semiconductor ETF92189F676ETF–$2.00K
iShares Tr464287556ISHARES BIOTECH–$2.00K
CMRCCommerce.com, Inc.COM SER 1–$2.00K
AYXAlteryx, Inc.COM CL A–$2.00K
EXPREXP OldCo Winddown, Inc.COM–$2.00K
FTNTFortinet, Inc.Stock$1.00K–
ADBEAdobe Inc.Stock$1.00K–
iShares U.S. Medical Devices ETF464288810ETF–$1.00K
State Street SPDR S&P Biotech ETF78464A870ETF–$1.00K
DISWalt Disney CoStock–$1.00K
Global X FDS37954Y624AUTONMOUS EV ETF–$1.00K
BBWBuild-A-Bear Workshop IncCOM–$1.00K
BBBY20230930-DK-Butterfly-1, Inc.COM–$1.00K
CGCCanopy Growth CorpCOM–$1.00K
Mudrick Capital Acqu Corp II62477L107COM CL A–$1.00K
BFXBowflex Inc.COM–$1.00K
Social Capital Hedosopha HLDG8251L105SHS CL A–$1.00K