13F-HR/A filed by CAPSTONE INVESTMENT ADVISORS, LLC
CAPSTONE INVESTMENT ADVISORS, LLC filed this 13F-HR/A for the quarter ended 2020-12-31, filed 2021-06-21, with 1,658 holding rows worth $29,853,725,000.
- Accession
- 0001172661-21-001417
- Filer
- CIK 1426196
- Filed
- 2021-06-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, amendment of type restatement, 1,658 entries on the cover page, a total value of $29,853,725,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $29,853,725,000 with VALUE read as thousands by filing date, 13F file number 028-13005. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| DONNELLEY R R & SONS CO | 257867200 | COM | 67,426 | $152,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 5,941 | $151,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 31,108 | $151,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 2,000 | $148,000 | thousands by filing date | call |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 716 | $146,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 34,504 | $144,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 32,343 | $143,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 53,432 | $141,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 42,416 | $140,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 71,593 | $139,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 57,982 | $138,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 6,406 | $136,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 3,400 | $136,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 800 | $136,000 | thousands by filing date | call |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 6,179 | $134,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 1,400 | $134,000 | thousands by filing date | call |
| EQUILLIUM INC | 29446K106 | COM | 24,984 | $134,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 750 | $130,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 2,391 | $128,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 1,350 | $127,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 1,600 | $127,000 | thousands by filing date | put |
| REKOR SYSTEMS INC | 759419104 | COM | 15,690 | $127,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 93,649 | $126,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 12,430 | $126,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 17,858 | $126,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 813 | $125,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 145,811 | $125,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 356 | $124,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 3,139 | $123,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 3,273 | $122,000 | thousands by filing date | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 2,900 | $122,000 | thousands by filing date | call |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 27,452 | $122,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 4,912 | $121,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 177,700 | $120,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 700 | $119,000 | thousands by filing date | call |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,000 | $119,000 | thousands by filing date | call |
| LINDE PLC | G5494J103 | SHS | 441 | $116,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 91,667 | $114,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 1,170 | $111,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 1,400 | $111,000 | thousands by filing date | call |
| UNUM GROUP COM | 91529Y106 | Stock | 4,800 | $110,000 | thousands by filing date | call |
| PENTAIR PLC SHS | G7S00T104 | Stock | 2,063 | $110,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 45,404 | $110,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 11,958 | $110,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 4,700 | $108,000 | thousands by filing date | call |
| AG MTG INVT TR INC | 001228105 | COM | 36,732 | $108,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 51,258 | $107,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 19,546 | $107,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 1,700 | $106,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 3,400 | $106,000 | thousands by filing date | put |
| COPART INC COM | 217204106 | Stock | 826 | $105,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 15,996 | $104,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 12,118 | $104,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 1,200 | $103,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 14,500 | $102,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 5,024 | $101,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 47,035 | $100,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 3,787 | $99,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 5,692 | $98,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 21,164 | $98,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 71,992 | $98,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 19,603 | $97,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 23,946 | $96,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 32,177 | $95,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 2,355 | $94,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 19,758 | $94,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 982 | $92,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 6,700 | $92,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 1,000 | $90,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 1,800 | $89,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP | 12648L601 | COM | 27,770 | $89,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 12,428 | $89,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 731 | $88,000 | thousands by filing date | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 2,100 | $88,000 | thousands by filing date | put |
| FLIR SYS INC | 302445101 | COM | 2,000 | $88,000 | thousands by filing date | call |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 39,209 | $88,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 826 | $87,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 535 | $87,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 2,216 | $86,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 2,330 | $86,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 26,712 | $83,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 15,515 | $82,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 38,812 | $82,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 22,152 | $80,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 12,146 | $79,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 14,460 | $79,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 1,407 | $78,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 19,621 | $78,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 11,763 | $76,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 21,285 | $75,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 2,400 | $75,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 400 | $73,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 56,273 | $73,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 885 | $71,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 14,307 | $71,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 1,800 | $70,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 207,267 | $70,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 11,810 | $70,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 1,800 | $69,000 | thousands by filing date | call |
| CBRE GROUP INC CL A | 12504L109 | Stock | 1,100 | $69,000 | thousands by filing date | call |
| REGENCY CTRS CORP COM | 758849103 | REIT | 1,500 | $68,000 | thousands by filing date | call |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 27,818 | $67,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 15,248 | $66,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 14,099 | $66,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 17,706 | $65,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 5,600 | $63,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 17,776 | $63,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 1,041 | $61,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 5,350 | $60,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 14,725 | $60,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 96 | $59,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 8,659 | $58,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 367 | $56,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 483 | $56,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 936 | $55,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 12,439 | $55,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 54,000 | $54,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 806 | $53,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 3,300 | $52,000 | thousands by filing date | call |
| FLOWSERVE CORP | 34354P105 | COM | 1,400 | $52,000 | thousands by filing date | call |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 1,362 | $51,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 1,007 | $51,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 2,217 | $51,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 84 | $48,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 2,068 | $47,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 10,705 | $47,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 339 | $46,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 313 | $44,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 672 | $43,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 816 | $42,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 635 | $42,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 200 | $42,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 2,184 | $38,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 1,300 | $37,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 1,236 | $37,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 600 | $32,000 | thousands by filing date | call |
| V F CORP COM | 918204108 | Stock | 357 | $30,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 451 | $28,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 263 | $25,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 369 | $23,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 700 | $22,000 | thousands by filing date | call |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 15,760 | $20,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 109 | $19,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 447 | $18,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 1,600 | $18,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 118 | $18,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 320 | $15,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 1,300 | $15,000 | thousands by filing date | call |
| AUTOZONE INC COM | 053332102 | Stock | 12 | $14,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 70 | $12,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 217 | $10,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 61 | $6,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 14 | $3,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 1 | $2,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 100 | $2,000 | thousands by filing date | call |
| AMCOR PLC | G0250X107 | ORD | 132 | $2,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 31 | $1,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-21-000680 | superseded | 2021-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-21-001417 | this filing | 2021-06-21 | acceptance time not in the bulk data set |