13F-HR filed by CAPSTONE INVESTMENT ADVISORS, LLC
CAPSTONE INVESTMENT ADVISORS, LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-17, with 1,616 holding rows worth $34,141,388,000.
- Accession
- 0001172661-21-001201
- Filer
- CIK 1426196
- Filed
- 2021-05-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,616 entries on the cover page, a total value of $34,141,388,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $34,141,388,000 with VALUE read as thousands by filing date, 13F file number 028-13005. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| YELLOW CORP | 985510106 | COM | 12,797 | $112,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 500 | $110,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 40,921 | $108,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 51,257 | $108,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 12,131 | $108,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 17,321 | $108,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 59,247 | $108,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 51,928 | $107,000 | thousands by filing date | |
| VIEW INC | 92671V106 | COM | 14,384 | $106,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 32,479 | $106,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 1,400 | $105,000 | thousands by filing date | call |
| ATLASSIAN CORP | G06242104 | CL A | 500 | $105,000 | thousands by filing date | call |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 6,527 | $103,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 30,973 | $103,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 13,409 | $101,000 | thousands by filing date | |
| DRAGONEER GROWTH OPT CORP II | G28315102 | CL A SHS | 10,000 | $101,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 5,400 | $100,000 | thousands by filing date | call |
| MATCH GROUP INC NEW | 57667L107 | COM | 728 | $100,000 | thousands by filing date | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A110 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| SUPERNOVA PARTN ACQ CO III L | G8T90F110 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| FTAC ATHENA ACQUISITION CORP | G37283127 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| INDEPENDENCE HOLDINGS CORP | G4761A119 | UNIT 03/02/2026 | 10,000 | $100,000 | thousands by filing date | |
| LAZARD GROWTH ACQUISITION CO | G54035129 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| LEAD EDGE GROWTH OPRTUNTS LT | G54085124 | UNIT 04/01/2026 | 10,000 | $100,000 | thousands by filing date | |
| ARCTOS NORTHSTAR ACQUIS CORP | G0477L118 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| CATCHA INVESTMENT CORP | G1962Y128 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| NORTHERN STAR INVEST CORP II | 66574L209 | UNIT 02/25/2028 | 10,000 | $100,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION CORP | G0633U119 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| ADVANCED MERGER PARTNERS INC UNIT EX 063026 | 00777J208 | Stock | 10,000 | $100,000 | thousands by filing date | |
| GORES TECHNOLOGY PARTNERS II | 38287L206 | UNIT 03/16/2028 | 10,000 | $100,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION CORP | G0633D117 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| MAGNUM OPUS ACQUISITION LTD | G5S70A120 | UNIT 06/03/2026 | 10,000 | $99,000 | thousands by filing date | |
| NORTHERN STAR INVEST CORP IV | 66575B200 | UNIT 02/25/2028 | 10,000 | $99,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVES III UNIT EX 022226 | 44376L206 | Stock | 10,000 | $99,000 | thousands by filing date | |
| VIRGIN GROUP ACQUISIT CORP I | G9460K110 | UNIT 99/99/9999 | 10,000 | $99,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 3,100 | $98,000 | thousands by filing date | call |
| ZIONS BANCORPORATION | 989701107 | COM | 1,759 | $97,000 | thousands by filing date | |
| SEAGEN INC | 81181C104 | COM | 700 | $97,000 | thousands by filing date | call |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 19,305 | $97,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 837 | $94,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 21,058 | $94,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 611 | $93,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,050 | $93,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 11,229 | $93,000 | thousands by filing date | |
| ROMEO POWER INC | 776153108 | COM | 11,040 | $92,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 1,259 | $90,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 3,085 | $89,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 15,023 | $89,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 12,693 | $89,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 51,937 | $87,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 20,711 | $87,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 400 | $81,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 600 | $81,000 | thousands by filing date | call |
| DONNELLEY R R & SONS CO | 257867200 | COM | 19,774 | $80,000 | thousands by filing date | |
| CARLOTZ INC | 142552108 | COMMON STOCK | 11,234 | $80,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 27,321 | $80,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 5,643 | $79,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 800 | $79,000 | thousands by filing date | call |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 11,792 | $79,000 | thousands by filing date | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 14,245 | $77,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 11,684 | $76,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 10,853 | $74,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 40,082 | $74,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 41,468 | $74,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 25,243 | $74,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 7,100 | $73,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 57,031 | $73,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 2,100 | $72,000 | thousands by filing date | call |
| WESTWATER RES INC | 961684206 | COM NEW | 13,355 | $72,000 | thousands by filing date | |
| SEAGEN INC | 81181C104 | COM | 508 | $71,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 70,971 | $71,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 36,144 | $70,000 | thousands by filing date | |
| MATCH GROUP INC NEW | 57667L107 | COM | 500 | $69,000 | thousands by filing date | call |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 13,310 | $68,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 17,948 | $68,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 37,831 | $68,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 600 | $67,000 | thousands by filing date | call |
| FOX CORP | 35137L204 | CL B COM | 1,900 | $66,000 | thousands by filing date | put |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 662 | $65,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 34,311 | $62,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 18,915 | $61,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 15,161 | $61,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 38,367 | $60,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 2,400 | $58,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 43,010 | $58,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 50,474 | $55,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 54,000 | $55,000 | thousands by filing date | |
| VONTIER CORPORATION | 928881101 | COM | 1,800 | $54,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 32,869 | $53,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 169 | $52,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 12,066 | $51,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 21,090 | $50,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 10,647 | $50,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 110 | $46,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 38,696 | $45,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 45,574 | $45,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 200 | $42,000 | thousands by filing date | call |
| PINNACLE WEST CAP CORP | 723484101 | COM | 500 | $41,000 | thousands by filing date | call |
| VONTIER CORPORATION | 928881101 | COM | 1,340 | $41,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 12,709 | $41,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 840 | $40,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 16,706 | $40,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 10,454 | $39,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 604 | $35,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,400 | $34,000 | thousands by filing date | call |
| REMARK HLDGS INC | 75955K102 | COM | 14,933 | $34,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,300 | $33,000 | thousands by filing date | call |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 12,562 | $28,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 14,719 | $25,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 16,850 | $25,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 682 | $17,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 12,908 | $14,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 100 | $2,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-21-001201 | this filing | 2021-05-17 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-22-000360 | base | 2022-02-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-22-000361 | added | 2022-02-11 | acceptance time not in the bulk data set |