MARSHALL WACE, LLP

Filed: 11/14/2022ACC: 0001318757-22-000012

📋 What this filing means

MARSHALL WACE, LLP filed this quarterly 13F‑HR report disclosing 3171 equity positions with a total reported market value of $45.64M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

3171

Positions

$45.64M

Total AUM (reported)

2.24B

Total Shares

Allocation by class

COMMON STOCK$36.61M80.2%

EQUITY OPTION$4.48M9.8%

ADR$1.53M3.4%

EQUITY WRT$1.31M2.9%

REIT$896.4K2.0%

CONVERTIBLE DEBT$412.7K0.9%

ETP$315.0K0.7%

Portfolio Concentration

Top 3$1.93M4.2%

4–10$2.83M6.2%

11–25$3.80M8.3%

Rest$37.08M81.2%

Top 3 weight

4.2%

Top 10 weight

10.4%

Voting Authority Distribution

Total shares with voting rights: 2.24B

Sole

Full voting authority

595.57K

% of voting shares0.0%

Shared

Joint voting authority

2.22B

% of voting shares99.2%

None

No voting authority

18.20M

% of voting shares0.8%

Investment Discretion (by position count)

Sole3

Shared0

Other3168

Dominant voting typeShared · 99.2% of voting shares

Institutional Holdings3171

Rows:

APPLE INC

OTR

COMMON STOCK

Shares4.98M

TypeSH

Market value$688.8K

1.51%

Sole

0.00

Shared

4.56M

None

426.22K

INVESCO QQQ TRUS

OTR

EQUITY OPTION

Shares2.35M

TypeSH

Market value$628.6K

1.38%

Sole

0.00

Shared

2.35M

None

0.00

MICROSOFT CORP

OTR

COMMON STOCK

Shares2.61M

TypeSH

Market value$607.8K

1.33%

Sole

0.00

Shared

2.42M

None

191.66K

AMAZON.COM INC

OTR

COMMON STOCK

Shares4.51M

TypeSH

Market value$510.1K

1.12%

Sole

0.00

Shared

4.27M

None

247.28K

CIGNA CORP

OTR

COMMON STOCK

Shares1.56M

TypeSH

Market value$432.5K

0.95%

Sole

0.00

Shared

1.53M

None

27.48K

BOSTON SCIENTIFC

OTR

COMMON STOCK

Shares10.09M

TypeSH

Market value$390.8K

0.86%

Sole

0.00

Shared

10.09M

None

0.00

JP MORGAN CHASE

OTR

COMMON STOCK

Shares3.70M

TypeSH

Market value$386.6K

0.85%

Sole

0.00

Shared

3.46M

None

241.88K

HUMANA INC

OTR

COMMON STOCK

Shares788.96K

TypeSH

Market value$382.8K

0.84%

Sole

0.00

Shared

754.52K

None

34.44K

JOHNSON&JOHNSON

OTR

COMMON STOCK

Shares2.25M

TypeSH

Market value$368.3K

0.81%

Sole

0.00

Shared

2.18M

None

69.66K

ISHARES IBOXX H/

OTR

EQUITY OPTION

Shares5.08M

TypeSH

Market value$362.4K

0.79%

Sole

0.00

Shared

5.08M

None

0.00

BANK OF AMERICA

OTR

COMMON STOCK

Shares9.96M

TypeSH

Market value$300.9K

0.66%

Sole

0.00

Shared

9.51M

None

451.73K

LULULEMON ATH

OTR

COMMON STOCK

Shares1.06M

TypeSH

Market value$296.6K

0.65%

Sole

0.00

Shared

1.05M

None

14.51K

VISA INC-CLASS A

OTR

COMMON STOCK

Shares1.64M

TypeSH

Market value$291.6K

0.64%

Sole

0.00

Shared

1.51M

None

129.54K

EDWARDS LIFE

OTR

COMMON STOCK

Shares3.51M

TypeSH

Market value$290.2K

0.64%

Sole

0.00

Shared

3.30M

None

214.28K

VMWARE INC-CL A

OTR

COMMON STOCK

Shares2.72M

TypeSH

Market value$289.2K

0.63%

Sole

0.00

Shared

2.71M

None

11.32K

KROGER CO

OTR

COMMON STOCK

Shares6.03M

TypeSH

Market value$263.9K

0.58%

Sole

0.00

Shared

5.69M

None

339.56K

INTEL CORP

OTR

COMMON STOCK

Shares9.44M

TypeSH

Market value$243.3K

0.53%

Sole

0.00

Shared

8.93M

None

506.17K

PINTEREST INC -A

OTR

COMMON STOCK

Shares10.28M

TypeSH

Market value$239.6K

0.52%

Sole

0.00

Shared

10.28M

None

6.79K

FORTINET INC

OTR

COMMON STOCK

Shares4.85M

TypeSH

Market value$238.3K

0.52%

Sole

0.00

Shared

4.63M

None

226.13K

AMERICAN INTERNA

OTR

COMMON STOCK

Shares4.97M

TypeSH

Market value$235.9K

0.52%

Sole

0.00

Shared

4.61M

None

361.56K

THERMO FISHER

OTR

COMMON STOCK

Shares462.82K

TypeSH

Market value$234.7K

0.51%

Sole

0.00

Shared

452.32K

None

10.50K

LOCKHEED MARTIN

OTR

EQUITY OPTION

Shares605K

TypeSH

Market value$233.7K

0.51%

Sole

0.00

Shared

605K

None

0.00

PINDUODUO IN-ADR

OTR

ADR

Shares3.50M

TypeSH

Market value$219.0K

0.48%

Sole

0.00

Shared

3.50M

None

0.00

QUALCOMM INC

OTR

COMMON STOCK

Shares1.94M

TypeSH

Market value$218.8K

0.48%

Sole

0.00

Shared

1.90M

None

32.90K

GILEAD SCIENCES

OTR

COMMON STOCK

Shares3.36M

TypeSH

Market value$207.6K

0.45%

Sole

18.71K

Shared

3.35M

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	Shared	None
APPLE INCOTR	COMMON STOCK	4.98M	SH	$688.8K 1.51%	0.00	4.56M	426.22K
INVESCO QQQ TRUSOTR	EQUITY OPTION	2.35M	SH	$628.6K 1.38%	0.00	2.35M	0.00
MICROSOFT CORPOTR	COMMON STOCK	2.61M	SH	$607.8K 1.33%	0.00	2.42M	191.66K
AMAZON.COM INCOTR	COMMON STOCK	4.51M	SH	$510.1K 1.12%	0.00	4.27M	247.28K
CIGNA CORPOTR	COMMON STOCK	1.56M	SH	$432.5K 0.95%	0.00	1.53M	27.48K
BOSTON SCIENTIFCOTR	COMMON STOCK	10.09M	SH	$390.8K 0.86%	0.00	10.09M	0.00
JP MORGAN CHASEOTR	COMMON STOCK	3.70M	SH	$386.6K 0.85%	0.00	3.46M	241.88K
HUMANA INCOTR	COMMON STOCK	788.96K	SH	$382.8K 0.84%	0.00	754.52K	34.44K
JOHNSON&JOHNSONOTR	COMMON STOCK	2.25M	SH	$368.3K 0.81%	0.00	2.18M	69.66K
ISHARES IBOXX H/OTR	EQUITY OPTION	5.08M	SH	$362.4K 0.79%	0.00	5.08M	0.00
BANK OF AMERICAOTR	COMMON STOCK	9.96M	SH	$300.9K 0.66%	0.00	9.51M	451.73K
LULULEMON ATHOTR	COMMON STOCK	1.06M	SH	$296.6K 0.65%	0.00	1.05M	14.51K
VISA INC-CLASS AOTR	COMMON STOCK	1.64M	SH	$291.6K 0.64%	0.00	1.51M	129.54K
EDWARDS LIFEOTR	COMMON STOCK	3.51M	SH	$290.2K 0.64%	0.00	3.30M	214.28K
VMWARE INC-CL AOTR	COMMON STOCK	2.72M	SH	$289.2K 0.63%	0.00	2.71M	11.32K
KROGER COOTR	COMMON STOCK	6.03M	SH	$263.9K 0.58%	0.00	5.69M	339.56K
INTEL CORPOTR	COMMON STOCK	9.44M	SH	$243.3K 0.53%	0.00	8.93M	506.17K
PINTEREST INC -AOTR	COMMON STOCK	10.28M	SH	$239.6K 0.52%	0.00	10.28M	6.79K
FORTINET INCOTR	COMMON STOCK	4.85M	SH	$238.3K 0.52%	0.00	4.63M	226.13K
AMERICAN INTERNAOTR	COMMON STOCK	4.97M	SH	$235.9K 0.52%	0.00	4.61M	361.56K
THERMO FISHEROTR	COMMON STOCK	462.82K	SH	$234.7K 0.51%	0.00	452.32K	10.50K
LOCKHEED MARTINOTR	EQUITY OPTION	605K	SH	$233.7K 0.51%	0.00	605K	0.00
PINDUODUO IN-ADROTR	ADR	3.50M	SH	$219.0K 0.48%	0.00	3.50M	0.00
QUALCOMM INCOTR	COMMON STOCK	1.94M	SH	$218.8K 0.48%	0.00	1.90M	32.90K
GILEAD SCIENCESOTR	COMMON STOCK	3.36M	SH	$207.6K 0.45%	18.71K	3.35M	0.00

Page 1 of 127

…