Filed: 11/13/2023ACC: 0001454937-23-000016
📋 What this filing means
AEGON USA INVESTMENT MANAGEMENT, LLC filed this quarterly 13F‑HR report disclosing 36 equity positions with a total reported market value of $138.63M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
36
Positions
$138.63M
Total AUM (reported)
18.90M
Total Shares
Allocation by class
TOTAL STK MKT$81.89M59.1%
PERP PFD CNV A$8.96M6.5%
7.25%CNV PFD L$8.84M6.4%
TOTAL BND MRKT$7.57M5.5%
COM$4.89M3.5%
NOTE 1.250% 5/0$3.97M2.9%
NOTE 0.750% 5/0$3.70M2.7%
Portfolio Concentration
Top 3$99.68M71.9%
4–10$26.29M19.0%
11–25$10.35M7.5%
Rest$2.31M1.7%
Top 3 weight
71.9%
Top 10 weight
90.9%
Voting Authority Distribution
Total shares with voting rights: 18.90M
Sole
Full voting authority
18.90M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole0
Shared0
Other36
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings36
Rows:
VANGUARD INDEX FDS
DFNDShares385.50K
TypeSH
Market value$81.89M
59.07%
Sole
385.50K
Shared
0.00
None
0.00
WELLS FARGO CO NEW
DFNDShares8K
TypeSH
Market value$8.96M
6.46%
Sole
8K
Shared
0.00
None
0.00
BANK AMERICA CORP
DFNDShares7.95K
TypeSH
Market value$8.84M
6.37%
Sole
7.95K
Shared
0.00
None
0.00
VANGUARD BD INDEX FDS
DFNDShares108.54K
TypeSH
Market value$7.57M
5.46%
Sole
108.54K
Shared
0.00
None
0.00
SOUTHWEST AIRLS CO
DFNDShares4M
TypePRN
Market value$3.97M
2.86%
Sole
4M
Shared
0.00
None
0.00
BOOKING HOLDINGS INC
DFNDShares2.21M
TypePRN
Market value$3.70M
2.67%
Sole
2.21M
Shared
0.00
None
0.00
NEXTERA ENERGY INC
DFNDShares90K
TypeSH
Market value$3.40M
2.45%
Sole
90K
Shared
0.00
None
0.00
WESTERN DIGITAL CORP.
DFNDShares3.15M
TypePRN
Market value$3.09M
2.23%
Sole
3.15M
Shared
0.00
None
0.00
CSI COMPRESSCO LP
DFNDShares1.66M
TypeSH
Market value$2.30M
1.66%
Sole
1.66M
Shared
0.00
None
0.00
EXPEDIA GROUP INC
DFNDShares2.60M
TypePRN
Market value$2.26M
1.63%
Sole
2.60M
Shared
0.00
None
0.00
EURONET WORLDWIDE INC
DFNDShares1.66M
TypePRN
Market value$1.53M
1.10%
Sole
1.66M
Shared
0.00
None
0.00
CBL & ASSOC PPTYS INC
DFNDShares58.87K
TypeSH
Market value$1.24M
0.89%
Sole
58.87K
Shared
0.00
None
0.00
ARES CAPITAL CORP
DFNDShares1.07M
TypePRN
Market value$1.09M
0.78%
Sole
1.07M
Shared
0.00
None
0.00
PROSPECT CAP CORP
DFNDShares1M
TypePRN
Market value$991.6K
0.72%
Sole
1M
Shared
0.00
None
0.00
EATON VANCE FLTING RATE INC
DFNDShares75.89K
TypeSH
Market value$934.3K
0.67%
Sole
75.89K
Shared
0.00
None
0.00
EATON VANCE SR FLTNG RTE TR
DFNDShares64.54K
TypeSH
Market value$781.6K
0.56%
Sole
64.54K
Shared
0.00
None
0.00
BLACKROCK CORPOR HI YLD FD I
DFNDShares86.32K
TypeSH
Market value$744.9K
0.54%
Sole
86.32K
Shared
0.00
None
0.00
INVESCO SR INCOME TR
DFNDShares145.79K
TypeSH
Market value$571.5K
0.41%
Sole
145.79K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
DFNDShares6.65K
TypeSH
Market value$499.8K
0.36%
Sole
6.65K
Shared
0.00
None
0.00
RIVERNORTH OPPORTUNITIES FD
DFNDShares34.94K
TypeSH
Market value$367.2K
0.26%
Sole
34.94K
Shared
0.00
None
0.00
SUMMIT MIDSTREAM PARTNERS LP
DFNDShares26.45K
TypeSH
Market value$366.2K
0.26%
Sole
26.45K
Shared
0.00
None
0.00
SSGA ACTIVE ETF TR
DFNDShares7.83K
TypeSH
Market value$328.4K
0.24%
Sole
7.83K
Shared
0.00
None
0.00
NEW AMER HIGH INCOME FD INC
DFNDShares50.32K
TypeSH
Market value$326.1K
0.24%
Sole
50.32K
Shared
0.00
None
0.00
FIRST TR SR FLTG RATE INCOME
DFNDShares30.02K
TypeSH
Market value$300.2K
0.22%
Sole
30.02K
Shared
0.00
None
0.00
SPDR SER TR
DFNDShares10.12K
TypeSH
Market value$296.7K
0.21%
Sole
10.12K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
VANGUARD INDEX FDSDFND | TOTAL STK MKT | 385.50K | SH | $81.89M 59.07% | 385.50K | 0.00 | 0.00 |
WELLS FARGO CO NEWDFND | PERP PFD CNV A | 8K | SH | $8.96M 6.46% | 8K | 0.00 | 0.00 |
BANK AMERICA CORPDFND | 7.25%CNV PFD L | 7.95K | SH | $8.84M 6.37% | 7.95K | 0.00 | 0.00 |
VANGUARD BD INDEX FDSDFND | TOTAL BND MRKT | 108.54K | SH | $7.57M 5.46% | 108.54K | 0.00 | 0.00 |
SOUTHWEST AIRLS CODFND | NOTE 1.250% 5/0 | 4M | PRN | $3.97M 2.86% | 4M | 0.00 | 0.00 |
BOOKING HOLDINGS INCDFND | NOTE 0.750% 5/0 | 2.21M | PRN | $3.70M 2.67% | 2.21M | 0.00 | 0.00 |
NEXTERA ENERGY INCDFND | UNIT 09/01/2025 | 90K | SH | $3.40M 2.45% | 90K | 0.00 | 0.00 |
WESTERN DIGITAL CORP.DFND | NOTE 1.500% 2/0 | 3.15M | PRN | $3.09M 2.23% | 3.15M | 0.00 | 0.00 |
CSI COMPRESSCO LPDFND | COM UNIT | 1.66M | SH | $2.30M 1.66% | 1.66M | 0.00 | 0.00 |
EXPEDIA GROUP INCDFND | NOTE 2/1 | 2.60M | PRN | $2.26M 1.63% | 2.60M | 0.00 | 0.00 |
EURONET WORLDWIDE INCDFND | NOTE 0.750% 3/1 | 1.66M | PRN | $1.53M 1.10% | 1.66M | 0.00 | 0.00 |
CBL & ASSOC PPTYS INCDFND | COMMON STOCK | 58.87K | SH | $1.24M 0.89% | 58.87K | 0.00 | 0.00 |
ARES CAPITAL CORPDFND | NOTE 4.625% 3/0 | 1.07M | PRN | $1.09M 0.78% | 1.07M | 0.00 | 0.00 |
PROSPECT CAP CORPDFND | NOTE 6.375% 3/0 | 1M | PRN | $991.6K 0.72% | 1M | 0.00 | 0.00 |
EATON VANCE FLTING RATE INCDFND | COM | 75.89K | SH | $934.3K 0.67% | 75.89K | 0.00 | 0.00 |
EATON VANCE SR FLTNG RTE TRDFND | COM | 64.54K | SH | $781.6K 0.56% | 64.54K | 0.00 | 0.00 |
BLACKROCK CORPOR HI YLD FD IDFND | COM | 86.32K | SH | $744.9K 0.54% | 86.32K | 0.00 | 0.00 |
INVESCO SR INCOME TRDFND | COM | 145.79K | SH | $571.5K 0.41% | 145.79K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSDFND | SHRT TRM CORP BD | 6.65K | SH | $499.8K 0.36% | 6.65K | 0.00 | 0.00 |
RIVERNORTH OPPORTUNITIES FDDFND | COM | 34.94K | SH | $367.2K 0.26% | 34.94K | 0.00 | 0.00 |
SUMMIT MIDSTREAM PARTNERS LPDFND | COM UNIT LTD | 26.45K | SH | $366.2K 0.26% | 26.45K | 0.00 | 0.00 |
SSGA ACTIVE ETF TRDFND | BLACKSTONE SENR | 7.83K | SH | $328.4K 0.24% | 7.83K | 0.00 | 0.00 |
NEW AMER HIGH INCOME FD INCDFND | COM NEW | 50.32K | SH | $326.1K 0.24% | 50.32K | 0.00 | 0.00 |
FIRST TR SR FLTG RATE INCOMEDFND | COM | 30.02K | SH | $300.2K 0.22% | 30.02K | 0.00 | 0.00 |
SPDR SER TRDFND | PORTFOLIO SHORT | 10.12K | SH | $296.7K 0.21% | 10.12K | 0.00 | 0.00 |
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