13F-HR filed by ADVENT CAPITAL MANAGEMENT /DE/
ADVENT CAPITAL MANAGEMENT /DE/ filed this 13F-HR for the quarter ended 2022-12-31, filed 2023-02-14, with 248 holding rows worth $5,763,676,648.
- Accession
- 0001140361-23-006592
- Filer
- CIK 1097278
- Filed
- 2023-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2022
A holdings report, 253 entries on the cover page, a total value of $5,763,676,648 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,763,676,648 with VALUE read as dollars as filed, 13F file number 028-05049. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC028-11097
- included managerRussell Investments Group, Ltd.028-17598
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 174,336 | $202,665,600 | dollars as filed | principal |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 169,791 | $201,620,105 | dollars as filed | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 132,215,000 | $159,286,021 | dollars as filed | principal |
| BOOKING HOLDINGS INC | 09857LAN8 | NOTE 0.750% 5/0 | 99,381,000 | $132,862,856 | dollars as filed | principal |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 117,209,000 | $112,227,618 | dollars as filed | principal |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 111,884,000 | $106,121,974 | dollars as filed | principal |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 37,845,000 | $88,443,765 | dollars as filed | principal |
| EQT CORP | 26884LAK5 | NOTE 1.750% 5/0 | 37,672,000 | $87,662,744 | dollars as filed | principal |
| FIVE9 INC | 338307AD3 | NOTE 0.500% 6/0 | 92,670,000 | $85,117,395 | dollars as filed | principal |
| EXPEDIA GROUP INC | 30212PBE4 | NOTE 2/1 | 95,202,000 | $83,390,193 | dollars as filed | principal |
| SPY | 78462F103 | SHS | 205,500 | $78,589,365 | dollars as filed | put |
| SPLUNK INC | 848637AD6 | BOND | 80,628,000 | $76,112,832 | dollars as filed | principal |
| SPY | 78462F103 | SHS | 190,000 | $72,661,700 | dollars as filed | call |
| NISOURCE INC | 65473P121 | CONV | 683,662 | $71,442,679 | dollars as filed | principal |
| NEXTERA ENERGY INC | 65339F739 | CONV | 1,402,475 | $70,453,332 | dollars as filed | principal |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 81,865,000 | $69,646,649 | dollars as filed | principal |
| AIRBNB INC CLASS A | 009066AB7 | CLASS A | 83,820,000 | $69,193,410 | dollars as filed | principal |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 71,902,000 | $68,756,288 | dollars as filed | principal |
| KKR & CO INC | 48251W401 | CONV | 1,186,281 | $68,279,369 | dollars as filed | principal |
| BLACKLINE INC | 09239BAD1 | NOTE 3/1 | 79,682,000 | $68,277,514 | dollars as filed | principal |
| DIGITALOCEAN HLDGS INC | 25402DAB8 | CNV | 90,146,000 | $67,834,865 | dollars as filed | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 67,357,000 | $65,402,030 | dollars as filed | principal |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 43,535,000 | $64,497,103 | dollars as filed | principal |
| JETBLUE AIRWAYS CORP | 477143AP6 | NOTE 0.500% 4/0 | 83,053,000 | $60,967,298 | dollars as filed | principal |
| ALTERYX INC | 02156BAF0 | BOND | 70,385,000 | $59,123,400 | dollars as filed | principal |
| NCL CORP LTD | 62886HBD2 | BOND | 85,611,000 | $58,540,802 | dollars as filed | principal |
| Shift4 Payments Inc | 82452JAB5 | Convertible bond | 58,501,000 | $58,245,058 | dollars as filed | principal |
| AMERICAN ELEC PWR CO INC | 02557T307 | UNIT 08/15/2023 | 1,093,350 | $57,040,070 | dollars as filed | principal |
| TYLER TEX INDPT SCH DIST | 902252AB1 | NOTE 0.250% 3/1 | 61,041,000 | $57,012,294 | dollars as filed | principal |
| OMNICELL COM | 68213NAD1 | NOTE 0.250% 9/1 | 64,833,000 | $56,858,541 | dollars as filed | principal |
| DROPBOX INC | 26210CAD6 | NOTE 3/0 | 63,024,000 | $56,469,504 | dollars as filed | principal |
| Nutanix Inc Note 0.250 percent 10/0 | 67059NAH1 | Convertible | 65,261,000 | $54,917,132 | dollars as filed | principal |
| CLOUDFLARE INC | 18915MAC1 | NOTE 8/1 | 66,199,000 | $54,283,180 | dollars as filed | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 7,381,000 | $54,011,944 | dollars as filed | principal |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 54,923,000 | $52,485,792 | dollars as filed | principal |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 65,349,000 | $51,547,291 | dollars as filed | principal |
| LYFT INC | 55087PAB0 | NOTE 1.500% 5/1 | 58,172,000 | $51,508,979 | dollars as filed | principal |
| HAEMONETICS CORP MASS | 405024AB6 | NOTE 3/0 | 60,043,000 | $49,913,746 | dollars as filed | principal |
| BILL HOLDINGS INC | 090043AB6 | NOTE 12/0 | 48,359,000 | $49,713,052 | dollars as filed | principal |
| Coupa Software | 22266LAF3 | CONV BOND | 51,415,000 | $49,692,598 | dollars as filed | principal |
| MONGODB INC | 60937PAD8 | NOTE 0.250% 1/1 | 40,827,000 | $48,022,759 | dollars as filed | principal |
| JAZZ INVESTMENTS I LTD | 472145AF8 | NOTE 2.000% 6/1 | 38,071,000 | $45,447,256 | dollars as filed | principal |
| RINGCENTRAL INC | 76680RAH0 | NOTE 3/1 | 57,373,000 | $45,324,670 | dollars as filed | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AU3 | NOTE 2.000% 2/1 | 44,923,000 | $44,316,540 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 45,148,000 | $43,703,264 | dollars as filed | principal |
| UBER TECHNOLOGIES INC | 90353TAJ9 | NOTE 12/1 | 51,370,000 | $43,523,540 | dollars as filed | principal |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 51,350,000 | $42,492,125 | dollars as filed | principal |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 44,410,000 | $40,746,175 | dollars as filed | principal |
| DRAFTKINGS INC NEW | 26142RAB0 | CNV | 63,375,000 | $39,831,188 | dollars as filed | principal |
| OAK STR HEALTH INC | 67181AAB3 | BOND | 52,243,000 | $39,805,927 | dollars as filed | principal |
| ZSCALER INC | 98980GAB8 | NOTE 0.125% 7/0 | 36,790,000 | $38,813,450 | dollars as filed | principal |
| SPIRIT AIRLS INC | 848577AB8 | NOTE 1.000% 5/1 | 47,305,000 | $38,317,050 | dollars as filed | principal |
| SPLUNK INC | 848637AF1 | NOTE 1.125% 6/1 | 44,513,000 | $37,782,634 | dollars as filed | principal |
| BENTLEY SYS INC | 08265TAD1 | NOTE 0.375% 7/0 | 45,259,000 | $37,067,121 | dollars as filed | principal |
| ZILLOW GROUP INC | 98954MAH4 | NOTE 2.750% 5/1 | 38,749,000 | $37,044,044 | dollars as filed | principal |
| OKTA INC | 679295AF2 | NOTE 0.375% 6/1 | 43,629,000 | $36,866,505 | dollars as filed | principal |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 44,486,000 | $36,834,408 | dollars as filed | principal |
| ITRON INC | 465741AN6 | NOTE 3/1 | 42,340,000 | $34,879,692 | dollars as filed | principal |
| VAIL RESORTS INC | 91879QAN9 | NOTE 1/0 | 37,177,000 | $34,667,553 | dollars as filed | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 32,064,000 | $34,615,044 | dollars as filed | principal |
| ETSY INC | 29786AAN6 | NOTE 0.250% 6/1 | 39,679,000 | $34,175,523 | dollars as filed | principal |
| UPWORK INC | 91688FAB0 | NOTE 0.250% 8/1 | 44,883,000 | $33,824,233 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 27,219,000 | $33,656,294 | dollars as filed | principal |
| SHIFT4 PMTS INC | 82452JAD1 | NOTE 0.500% 8/0 | 39,464,000 | $33,406,276 | dollars as filed | principal |
| ZILLOW GROUP INC | 98954MAG6 | NOTE 1.375% 9/0 | 32,234,000 | $32,798,095 | dollars as filed | principal |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 30,153,000 | $32,057,825 | dollars as filed | principal |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 30,147,000 | $31,925,673 | dollars as filed | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 50,632,000 | $31,847,528 | dollars as filed | principal |
| BLOCK INC | 852234AK9 | NOTE 0.250%11/0 | 40,632,000 | $30,829,530 | dollars as filed | principal |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 37,264,000 | $30,719,510 | dollars as filed | principal |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 27,607,000 | $30,036,416 | dollars as filed | principal |
| NEXTERA ENERGY INC | 65339F713 | CONV | 583,744 | $29,371,079 | dollars as filed | principal |
| DANAHER CORPORATION | 235851409 | CONV | 21,456 | $29,197,878 | dollars as filed | principal |
| TELADOC HEALTH INC | 87918AAF2 | NOTE 1.250% 6/0 | 37,329,000 | $28,862,597 | dollars as filed | principal |
| NUVASIVE INC | 670704AJ4 | NOTE 0.375% 3/1 | 32,742,000 | $28,763,847 | dollars as filed | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 26,939,000 | $28,706,872 | dollars as filed | principal |
| IMAX CORP | 45245EAJ8 | NOTE 0.500% 4/0 | 33,788,000 | $28,666,145 | dollars as filed | principal |
| LIVEPERSON INC | 538146AD3 | NOTE 12/1 | 38,408,000 | $27,580,785 | dollars as filed | principal |
| CHART INDS INC | 16115Q407 | 6.75DP CNV PFD B | 541,500 | $27,535,275 | dollars as filed | principal |
| CRACKER BARREL OLD CTRY STOR | 22410JAB2 | cv | 31,570,000 | $27,110,738 | dollars as filed | principal |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 31,307,000 | $27,041,421 | dollars as filed | principal |
| VERINT SYSTEMS INC | 92343XAC4 | BOND | 29,000,000 | $25,375,000 | dollars as filed | principal |
| Dropbox Inc | 26210CAC8 | Convertible bond | 27,474,000 | $24,946,392 | dollars as filed | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 25,162,000 | $24,784,570 | dollars as filed | principal |
| CINEMARK HLDGS INC | 17243VAB8 | NOTE 4.500% 8/1 | 25,682,000 | $24,656,749 | dollars as filed | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 25,000,000 | $24,359,375 | dollars as filed | principal |
| NEOGENOMICS INC | 64049MAA8 | Convertible Debt | 28,439,000 | $24,119,827 | dollars as filed | principal |
| SAREPTA THERAPEUTICS INC | 803607AC4 | DEBT 1.250% 9/1 | 20,758,000 | $24,027,385 | dollars as filed | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 22,505,000 | $23,940,819 | dollars as filed | principal |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 21,023,000 | $22,967,628 | dollars as filed | principal |
| BENTLEY SYS INC | 08265TAB5 | NOTE 0.125% 1/1 | 24,776,000 | $22,719,592 | dollars as filed | principal |
| APTIV PLC | EP0589507 | CONV PFD | 204,279 | $21,984,240 | dollars as filed | principal |
| INSULET CORP | 45784PAK7 | NOTE 0.375% 9/0 | 15,509,000 | $21,976,253 | dollars as filed | principal |
| ETSY INC | 29786AAL0 | NOTE 0.125% 9/0 | 19,886,000 | $19,935,715 | dollars as filed | principal |
| ENPHASE ENERGY INC | 29355AAK3 | NOTE 3/0 | 16,903,000 | $19,850,883 | dollars as filed | principal |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 22,485,000 | $19,314,615 | dollars as filed | principal |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 19,341,000 | $19,215,284 | dollars as filed | principal |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 12,376,000 | $18,304,104 | dollars as filed | principal |
| OKTA INC | 679295AD7 | NOTE 0.125% 9/0 | 20,252,000 | $17,892,642 | dollars as filed | principal |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 27,168,000 | $17,830,358 | dollars as filed | principal |
| LUMENTUM HLDGS INC | 55024UAD1 | NOTE 0.500%12/1 | 20,372,000 | $17,570,850 | dollars as filed | principal |
| BILL HOLDINGS INC | 090043AD2 | NOTE 4/0 | 22,000,000 | $17,501,000 | dollars as filed | principal |
| PERFICIENT INC | 71375UAF8 | BOND | 22,490,000 | $17,485,975 | dollars as filed | principal |
| HEALTH CATALYST INC | 42225TAB3 | BOND | 19,736,000 | $17,298,604 | dollars as filed | principal |
| AES CORP | 00130H204 | CONV | 168,201 | $17,222,100 | dollars as filed | principal |
| IONIS PHARMACEUTICALS INC | 462222AD2 | NOTE 4/0 | 18,450,000 | $17,123,906 | dollars as filed | principal |
| ANYWHERE REAL ESTATE GROUP L | 75606DAP6 | CNV | 24,254,000 | $17,074,816 | dollars as filed | principal |
| RAPID7 INC | 753422AF1 | NOTE 0.250% 3/1 | 21,376,000 | $16,801,408 | dollars as filed | principal |
| MARRIOTT VACATIONS WORLDWIDE | 57164YAD9 | NOTE 1/1 | 16,943,000 | $16,604,140 | dollars as filed | principal |
| HALOZYME THERAPEUTICS INC | 40637HAD1 | NOTE 0.250% 3/0 | 17,000,000 | $16,543,125 | dollars as filed | principal |
| CONFLUENT INC | 20717MAB9 | NOTE 1/1 | 21,414,000 | $16,274,640 | dollars as filed | principal |
| NEW MTN FIN CORP | 647551AC4 | BOND | 15,799,000 | $15,749,628 | dollars as filed | principal |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 15,863,000 | $15,696,439 | dollars as filed | principal |
| MIDDLEBY CORP | 596278AB7 | NOTE 1.000% 9/0 | 12,661,000 | $14,946,311 | dollars as filed | principal |
| SILICON LABORATORIES INC | 826919AD4 | NOTE 0.625% 6/1 | 11,821,000 | $14,828,262 | dollars as filed | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAE0 | NOTE 5.500% 3/1 | 17,297,000 | $14,821,367 | dollars as filed | principal |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 11,719,000 | $14,467,106 | dollars as filed | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 15,085,000 | $13,946,083 | dollars as filed | principal |
| PARSONS CORP DEL | 70202LAB8 | BOND | 11,681,000 | $13,333,862 | dollars as filed | principal |
| BLOOM ENERGY CORP | 093712AH0 | COM CL A | 9,832,000 | $13,279,099 | dollars as filed | principal |
| CNX RES CORP | 12653CAG3 | NOTE 2.250% 5/0 | 8,927,000 | $13,131,617 | dollars as filed | principal |
| NUVASIVE INC | 670704AL9 | BOND | 13,100,000 | $12,887,125 | dollars as filed | principal |
| SOLAREDGE TECHNOLOGIES INC | 83417MAD6 | NOTE 9/1 | 10,158,000 | $12,661,947 | dollars as filed | principal |
| BECTON DICKINSON & CO | 075887406 | CONV | 250,503 | $12,597,170 | dollars as filed | principal |
| PAGERDUTY INC | 69553PAB6 | BOND | 12,366,000 | $12,508,209 | dollars as filed | principal |
| NCL CORP LTD | 62886HAX9 | NOTE 5.375% 8/0 | 12,165,000 | $12,329,228 | dollars as filed | principal |
| UNITY SOFTWARE INC | 91332UAB7 | NOTE 11/1 | 15,457,000 | $11,646,850 | dollars as filed | principal |
| BOSTON SCIENTIFIC CORP | 101137206 | CONV | 99,951 | $11,504,610 | dollars as filed | principal |
| UNITED STATES STL CORP | 912909AT5 | NOTE 5.000%11/0 | 5,230,000 | $10,486,150 | dollars as filed | principal |
| ARRAY TECHNOLOGIES INC | 04271TAB6 | NOTE 1.000%12/0 | 10,098,000 | $10,315,107 | dollars as filed | principal |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 10,169,000 | $9,848,677 | dollars as filed | principal |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 10,100,000 | $9,810,130 | dollars as filed | principal |
| DATADOG INC | 23804LAB9 | NOTE 0.125% 6/1 | 8,750,000 | $9,592,188 | dollars as filed | principal |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 10,314,000 | $9,417,713 | dollars as filed | principal |
| INTEGRA LIFESCIENCES HLDGS C | 457985AM1 | NOTE 0.500% 8/1 | 9,634,000 | $9,388,333 | dollars as filed | principal |
| ZILLOW GROUP INC | 98954MAE1 | NOTE 0.750% 9/0 | 8,873,000 | $9,219,047 | dollars as filed | principal |
| CABLE ONE, INC. | 12685JAG0 | NOTE | 12,000,000 | $8,976,000 | dollars as filed | principal |
| BURLINGTON STORES INC | 122017AB2 | NOTE 2.250% 4/1 | 7,770,000 | $8,974,350 | dollars as filed | principal |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 10,764,000 | $8,934,120 | dollars as filed | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 8,500,000 | $8,851,050 | dollars as filed | principal |
| MACOM TECH SOLUTIONS HLDGS I | 55405YAB6 | NOTE 0.250% 3/1 | 8,676,000 | $8,628,282 | dollars as filed | principal |
| SNAP INC | 83304AAD8 | NOTE 0.250% 5/0 | 9,355,000 | $8,508,373 | dollars as filed | principal |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 191,717 | $8,461,775 | dollars as filed | principal |
| WOLFSPEED INC | 225447AD3 | NOTE 1.750% 5/0 | 5,153,000 | $8,304,060 | dollars as filed | principal |
| LIVONGO HEALTH INC | 539183AA1 | NOTE 0.875% 6/0 | 9,319,000 | $8,189,537 | dollars as filed | principal |
| REPLIGEN CORP | 759916AB5 | BOND | 5,080,000 | $8,169,148 | dollars as filed | principal |
| DISH NETWORK CORPORATION | 25470MAF6 | NOTE 12/1 | 12,320,000 | $7,921,760 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 7,500,000 | $7,912,500 | dollars as filed | principal |
| LITHIUM ARGENTINA AG | 53680QAA6 | NOTE 1.750% 1/1 | 10,000,000 | $7,840,000 | dollars as filed | principal |
| ATI INC | 01741RAK8 | BOND | 3,600,000 | $7,250,400 | dollars as filed | principal |
| ALTERYX INC | 02156BAD5 | BOND | 7,639,000 | $7,042,203 | dollars as filed | principal |
| MGP INGREDIENTS INC NEW | 55303JAB2 | NOTE 1.875%11/1 | 5,300,000 | $6,698,140 | dollars as filed | principal |
| DOCUSIGN INC | 256163AD8 | NOTE 1/1 | 6,800,000 | $6,426,000 | dollars as filed | principal |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 6,070,000 | $6,397,780 | dollars as filed | principal |
| Shopify Inc | 82509LAA5 | Convertible bond | 7,433,000 | $6,383,089 | dollars as filed | principal |
| NICE LTD | 653656AB4 | NOTE 9/1 | 6,476,000 | $6,136,010 | dollars as filed | principal |
| ON SEMICONDUCTOR CORP | 682189AS4 | NOTE 5/0 | 4,500,000 | $5,985,000 | dollars as filed | principal |
| ROYAL CARIBBEAN GROUP | 780153BF8 | NOTE 2.875%11/1 | 6,022,000 | $5,925,648 | dollars as filed | principal |
| TRANSOCEAN INC | 893830BT5 | DEB 4.000%12/1 | 4,810,000 | $5,814,809 | dollars as filed | principal |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 5,680,000 | $5,612,550 | dollars as filed | principal |
| KAMAN CORP | 483548AF0 | BOND | 5,761,000 | $5,383,655 | dollars as filed | principal |
| GUESS INC | 401617AD7 | BOND | 5,000,000 | $5,328,125 | dollars as filed | principal |
| WINNEBAGO INDS INC | 974637AB6 | BOND | 4,900,000 | $5,163,375 | dollars as filed | principal |
| SABRE GLBL INC | 78573NAE2 | BOND | 4,645,000 | $5,002,201 | dollars as filed | principal |
| NATIONAL VISION HLDGS INC | 63845RAB3 | NOTE 2.500% 5/1 | 3,630,000 | $4,998,819 | dollars as filed | principal |
| ENVISTA HOLDINGS CORPORATION | 29415FAB0 | BOND | 2,750,000 | $4,631,000 | dollars as filed | principal |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 19,400 | $4,430,766 | dollars as filed | |
| RAPID7 INC | 753422AD6 | NOTE 2.250% 5/0 | 4,500,000 | $4,333,500 | dollars as filed | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 100,000 | $3,935,000 | dollars as filed | |
| PERMIAN RES OPER LLC | 15136AAA0 | NOTE 3.250% 4/0 | 2,290,000 | $3,889,565 | dollars as filed | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 4,000,000 | $3,870,408 | dollars as filed | principal |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 1,379,000 | $3,801,214 | dollars as filed | principal |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 13,000 | $3,783,000 | dollars as filed | |
| H World Group Ltd | 44332NAB2 | Convertible bond | 2,900,000 | $3,553,950 | dollars as filed | principal |
| International Business Machines Corporation | 459200101 | COM | 25,000 | $3,522,250 | dollars as filed | |
| COHERUS BIOSCIENCES INC | 19249HAB9 | BOND | 5,214,000 | $3,428,205 | dollars as filed | principal |
| LCI INDS | 501812AB7 | NOTE 1.125% 5/1 | 4,000,000 | $3,390,000 | dollars as filed | principal |
| MAKEMYTRIP LIMITED MAURITIUS | 56087FAB0 | NOTE 2/1 | 3,178,000 | $3,171,644 | dollars as filed | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 50,000 | $3,149,500 | dollars as filed | |
| VARONIS SYS INC | 922280AB8 | BOND | 2,900,000 | $3,056,600 | dollars as filed | principal |
| Lowes Companies,Inc. | 548661107 | COM | 15,000 | $2,988,600 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 75,000 | $2,955,000 | dollars as filed | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 52,926 | $2,689,170 | dollars as filed | principal |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 30,000 | $2,661,900 | dollars as filed | |
| SEA LTD | 81141RAG5 | NOTE 0.250% 9/1 | 3,592,000 | $2,649,100 | dollars as filed | principal |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 200,000 | $2,544,000 | dollars as filed | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 20,000 | $2,537,200 | dollars as filed | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 4,500 | $2,458,800 | dollars as filed | |
| AbbVie,Inc. | 00287Y109 | COM | 15,000 | $2,424,150 | dollars as filed | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 300,000 | $2,418,000 | dollars as filed | put |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 2,184,000 | $2,141,412 | dollars as filed | principal |
| KEYCORP COM | 493267108 | Stock | 100,000 | $1,742,000 | dollars as filed | |
| LENDINGTREE INC | 52603BAD9 | NOTE 0.500% 7/1 | 2,350,000 | $1,721,610 | dollars as filed | principal |
| SEA LTD | 81141RAF7 | NOTE 2.375%12/0 | 1,600,000 | $1,579,040 | dollars as filed | principal |
| BRAEMAR HOTELS & RESORTS INC | 10482BAB7 | NOTE 4.500% 6/0 | 1,540,000 | $1,460,507 | dollars as filed | principal |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 300,000 | $1,383,000 | dollars as filed | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 300,000 | $1,368,000 | dollars as filed | put |
| MAGNITE INC | 55955DAB6 | NOTE 0.250% 3/1 | 1,725,000 | $1,348,778 | dollars as filed | principal |
| Comcast Corp | 20030N101 | COM | 37,500 | $1,311,375 | dollars as filed | put |
| Caterpillar Inc. | 149123101 | COM | 4,000 | $958,240 | dollars as filed | put |
| ALGONQUIN PWR UTILS CORP | 015857873 | CONV | 40,000 | $955,600 | dollars as filed | principal |
| ARRAY TECHNOLOGIES, INC. | 04271T100 | COM SHS | 40,000 | $773,200 | dollars as filed | put |
| EQT CORP COM | 26884L109 | Stock | 20,000 | $676,600 | dollars as filed | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 59,048 | $643,623 | dollars as filed | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 26,950 | $342,804 | dollars as filed | |
| AFFIRM HLDGS INC COM CL A | 00827B106 | Stock | 35,000 | $338,450 | dollars as filed | put |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 200,000 | $232,000 | dollars as filed | put |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 250,000 | $214,837 | dollars as filed | principal |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 210,000 | $211,628 | dollars as filed | principal |
| PARAMOUNT GLOBAL | 92556H305 | CONV | 8,387 | $211,317 | dollars as filed | principal |
| SNAP INC | 83304A106 | CL A | 21,800 | $195,110 | dollars as filed | |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 123,000 | $136,986 | dollars as filed | principal |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 18,560 | $134,003 | dollars as filed | |
| SPIRIT AIRLS INC | 848577102 | COM | 6,233 | $121,419 | dollars as filed | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 522 | $105,841 | dollars as filed | |
| RAPID7 INC COM | 753422104 | Stock | 2,409 | $81,858 | dollars as filed | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 294 | $77,898 | dollars as filed | |
| MARA HOLDINGS INC COM | 565788106 | Stock | 22,500 | $76,950 | dollars as filed | put |
| PROS HOLDINGS INC | 74346YAH6 | BOND | 75,000 | $69,747 | dollars as filed | principal |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 2,413 | $62,690 | dollars as filed | |
| CHEFS WHSE INC | 163086AB7 | BOND | 55,000 | $57,118 | dollars as filed | principal |
| GRAB HOLDINGS LIMITED | G4124C117 | *W EXP 99/99/999 | 92,970 | $49,953 | dollars as filed | |
| EVERBRIDGE INC | 29978AAC8 | NOTE 0.125%12/1 | 37,000 | $33,717 | dollars as filed | principal |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 630 | $28,319 | dollars as filed | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 4,600 | $21,206 | dollars as filed | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 464 | $17,525 | dollars as filed | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 7,000 | $13,094 | dollars as filed | principal |
| REDWOOD TRUST INC | 758075AD7 | BOND | 11,000 | $10,065 | dollars as filed | principal |
| GREEN PLAINS INC | 393222AK0 | NOTE 2.250% 3/1 | 8,000 | $9,592 | dollars as filed | principal |
| SHAKE SHACK INC | 819047AB7 | NOTE 3/0 | 11,000 | $7,349 | dollars as filed | principal |
| PAGAYA TECHNOLOGIES LTD | M7S64L107 | WTS | 75,000 | $7,118 | dollars as filed | |
| NATERA INC | 632307AB0 | BOND | 5,000 | $6,385 | dollars as filed | principal |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 3,000 | $6,095 | dollars as filed | principal |
| SUNNOVA ENERGY INTL INC. | 86745KAF1 | NOTE 0.250%12/0 | 7,000 | $5,450 | dollars as filed | principal |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 5,000 | $4,913 | dollars as filed | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 3,000 | $4,760 | dollars as filed | principal |
| JAMF HLDG CORP | 47074LAB1 | NOTE 0.125% 9/0 | 5,000 | $4,140 | dollars as filed | principal |
| 26 Capital Acquisition Corp | 90138P118 | Warrant | 11,718 | $3,281 | dollars as filed | |
| IMAX CORP | 45245E109 | COM | 180 | $2,639 | dollars as filed | |
| ARES ACQUISITION CORPORATION | G33032122 | *W EXP 02/02/202 | 4,640 | $2,164 | dollars as filed | |
| GINKGO BIOWORKS HOLDINGS INC WT EXP 091626 | 37611X118 | Stock | 9,240 | $1,848 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T116 | *W EXP 01/13/202 | 6,066 | $1,777 | dollars as filed | |
| BIGBEAR AI HLDGS INC | 08975B117 | *W EXP 12/08/202 | 47,332 | $1,453 | dollars as filed | |
| M3 BRIGADE ACQUISITION II CO | 553800111 | *W EXP 03/09/202 | 25,000 | $1,360 | dollars as filed | |
| FIVE9 INC | 338307101 | COM | 18 | $1,221 | dollars as filed | |
| ALLEGO N V | N0796A118 | WTS | 9,150 | $915 | dollars as filed | |
| DHC ACQUISITION CORP | G2758T117 | WARR | 29,666 | $297 | dollars as filed | |
| FATHOM DIGITAL MFG CORP | 31189Y111 | *W EXP 12/22/202 | 3,175 | $264 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-23-006592 | this filing | 2023-02-14 | acceptance time not in the bulk data set |