MACKAY SHIELDS LLC
Adviser information for MACKAY SHIELDS LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 223 |
|---|---|
| Investment Advisory/Research | 79 |
| Registered Broker-Dealer Representatives | 37 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 365 | $139.1B |
| Non-Discretionary | 0 | $0 |
| Total | 365 | $139.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 7 | $275.9M |
| Banking or thrift institutions | <5 | $691.9M |
| Investment companies | 36 | $56.9B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 50 | $22.4B |
| Pension and profit sharing plans | 90 | $13.7B |
| Charitable organizations | <5 | $191.5M |
| State or municipal gov entities | 32 | $11.3B |
| Other investment advisers | <5 | $0 |
| Insurance companies | 80 | $27.6B |
| Sovereign wealth funds and foreign official institutions | <5 | $1.5B |
| Corporations or other businesses | 15 | $3.9B |
| Other | 42 | $618.8M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 16 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 618.8M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT SEPARATE ACCOUNT PROGRAM | AMERIPRISE |
| MANAGED DIVERSIFIED PORTFOLIO | WELLS FARGO BANK |
| MANAGER ACCOUNTS CONSULTING (MAC)/ACCESS/STRATEGIC WEALTH PORTFOLIO (SWP) | UBS |
| MASTERS/DIVERSIFIED MANAGED ALLOCATIONS/NETWORK | WELLS FARGO ADVISORS |
| SELECT UMA/INVESTMENT MANAGEMENT SERVICES (IMS) | MORGAN STANLEY |
| STAR/INVESTMENT ADVISORY SERVICES (IAS) | OPPENHEIMER |
| MANAGED ACCOUNT COMMAND AND UTILITY | LOCKWOOD ADVISORS, INC. (TURNKEY ASSET MANAGER PROVIDER) |
| MANAGED ACCOUNT PROGRAM (MAP) | RBC |
| STRATEGIC PORTFOLIO ADVISOR (SPA) | MERRILL LYNCH & CO. |
| ENVESTNET SMA | ENVESTNET (TURNKEY ASSET MANAGER PROVIDER) |
| OPPORTUNITY PROGRAM | STIFEL |
| MANAGED ACCOUNT PROGRAM | CHARLES SCHWAB |
| RAYMOND JAMES | RAYMOND JAMES OMS (OUTSIDE MANAGER PROGRAM) |
Principal Office
1345 AVENUE OF THE AMERICAS43RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 8 A.M. TO 5 P.M.
Tel: 212-758-5400, Fax: 212-758-3291
Chief Compliance Officer
CHRISTOPHER PAUL FITZGERALD
CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR
1345 AVENUE OF THE AMERICAS
43RD FLOOR
NEW YORK
NY
United States
Tel:
212-230-3968
Fax:
212-758-3291
C***************@****************M
(Full email address available in API data)
Regulatory Contact
YOUNG LEE
GENERAL COUNSEL AND SENIOR MANAGING DIRECTOR
1345 AVENUE OF THE AMERICAS
43RD FLOOR
NEW YORK
NY
United States
Tel:
(212) 230-3850
Fax:
(212) 758-3291
Y********@****************M
(Full email address available in API data)
Industry Affiliates
| APOGEM CAPITAL LLC | Other investment adviser, including financial planners |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BOW RIVER ADVISERS, LLC | Other investment adviser, including financial planners |
| CANDRIAM S.C.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EAGLE STRATEGIES LLC | Other investment adviser, including financial planners |
| FLATIRON RR LLC, MANAGER SERIES | Other investment adviser, including financial planners |
| INDEXIQ ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KARTESIA MANAGEMENT S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | Insurance company or agency |
| MACKAY MUNICIAL MANAGERS STRATEGIC OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL CAPITAL TRADING GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS CALIFORNIA OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS CREDIT OPPORTUNITIES HL (CAYMAN) GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS HIGH INCOME OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS HIGH YIELD SELECT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS OPPORTUNITIES ALLOCATION GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL MANAGERS OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL NEW YORK OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS CORE FIXED INCOME FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS CORE PLUS OPPORTUNITIES FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS INTERMEDIATE BOND FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS SELECT CREDIT OPPORTUNITIES FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS UK LLP | Other investment adviser, including financial planners |
| MKS GLOBAL EMERGING MARKETS EQUITIES FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MKS GLOBAL SUSTAINABLE EMERGING MARKETS EQUITIES FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| NEW YORK LIFE ENTERPRISES LLC | Insurance company or agency |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | Insurance company or agency |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| NEW YORK LIFE TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
| NYL INVESTORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NYLIFE DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLIFE INSURANCE COMPANY OF ARIZONA | Insurance company or agency |
| NYLIFE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLINK INSURANCE AGENCY INCORPORATED | Insurance company or agency |
| SEGUROS MONTERREY NEW YORK LIFE S.A DE C.V. | Insurance company or agency |
| TRISTAN CAPITAL PARTNERS LLP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MACKAY MUNICIPAL CALIFORNIA OPPORTUNITIES FUND, L.P. | Hedge Fund | $566.2M | $0.3M | 447 |
| MACKAY MUNICIPAL CAPITAL TRADING MASTER FUND, L.P. | Hedge Fund | $353.9M | $0.3M | 59 |
| MACKAY MUNICIPAL CREDIT OPPORTUNITIES MASTER FUND, L.P. | Hedge Fund | $4,514.5M | $1.0M | 3239 |
| MACKAY MUNICIPAL HIGH INCOME OPPORTUNITIES FUND LP | Hedge Fund | $668.9M | $0.3M | 998 |
| MACKAY MUNICIPAL HIGH YIELD SELECT FUND LP | Hedge Fund | $581.4M | $0.3M | 601 |
| MACKAY MUNICIPAL NEW YORK OPPORTUNITIES FUND, L.P. | Hedge Fund | $272.9M | $0.3M | 376 |
| MACKAY MUNICIPAL OPPORTUNITIES ALLOCATION MASTER FUND LP | Hedge Fund | $1,670.5M | $0.3M | 2477 |
| MACKAY MUNICIPAL OPPORTUNITIES MASTER FUND, L.P. | Hedge Fund | $3,075.6M | $1.0M | 2800 |
| MACKAY MUNICIPAL SHORT TERM OPPORTUNITIES FUND LP | Hedge Fund | $111.7M | $0.3M | 33 |
| MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. | Hedge Fund | $1.6M | $0.5M | 260 |
| MACKAY MUNICIPAL U.S. INFRASTRUCTURE OPPORTUNITIES FUND LP | Hedge Fund | $35.2M | $0.3M | 44 |
| MACKAY SHIELDS CORE FIXED INCOME FUND LP | PRIVATE FIXED INCOME FUND | $157.5M | $1.0M | 8 |
| MACKAY SHIELDS CORE PLUS/OPPORTUNITIES FUND LP | Hedge Fund | $64.1M | $5.0M | 5 |
| MACKAY SHIELDS DEFENSIVE BOND ARBITRAGE FUND LTD. | Hedge Fund | $218.6M | $5.0M | 13 |
| MACKAY SHIELDS HIGH YIELD ACTIVE CORE FUND LP | Hedge Fund | $292.2M | $2.0M | 23 |
| MACKAY SHIELDS INTERMEDIATE BOND FUND LP | Hedge Fund | $646.6M | $1.0M | 4 |
| MACKAY SHIELDS SELECT CREDIT OPPORTUNITIES FUND LP | Hedge Fund | $0.4M | $1.0M | 2 |
| MACKAY SHIELDS SERIES FUND LLC - STRUCTURED PRODUCTS OPPORTUNITIES SERIES | Hedge Fund | $24.4M | $5.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | Domestic Entity | – | SOLE MEMBER | 01/2000 | > 75% |
| NEW YORK LIFE INSURANCE COMPANY | Domestic Entity | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | INDIRECT INTEREST HOLDER | 10/1999 | |
| BUSTAMANTE, RENE, ARTURO | Individual | – | CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE MANAGING DIRECTOR | 01/2020 | < 5% |
| LOFFREDO, JOHN, MICHAEL | Individual | – | VICE CHAIRMAN, EXECUTIVE MANAGING DIRECTOR | 07/2009 | < 5% |
| DIMELLA, ROBERT, ALAN | Individual | – | EXECUTIVE MANAGING DIRECTOR | 03/2010 | < 5% |
| MALLOY, ANTHONY, RAMSEY | Individual | – | ELECTED TO THE BOARD OF MANAGERS | 01/2011 | < 5% |
| AKKERMAN, JOHN, WILLIAM | Individual | – | EXECUTIVE MANAGING DIRECTOR | 09/2012 | < 5% |
| LEE, YOUNG, NMN | Individual | – | GENERAL COUNSEL, SENIOR MANAGING DIRECTOR | 02/2013 | < 5% |
| CORKER, MICHAEL, DANIEL | Individual | – | CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR | 01/2008 | < 5% |
| SUSSER, ANDREW, MARK | Individual | – | EXECUTIVE MANAGING DIRECTOR | 01/2015 | < 5% |
| ABOU-JAOUDE, NAIM, (NMN) | Individual | – | INTERIM CEO AND CHAIRMAN OF THE BOARD OF MANAGERS | 03/3017 | < 5% |
| Lehneis, Kirk, C | Individual | – | ELECTED TO BOARD OF MANAGERS | 03/2017 | < 5% |
| HARTE, FRANCIS, MICHAEL | Individual | – | ELECTED TO THE BOARD OF MANAGERS | 03/2017 | < 5% |
| FITZGERALD, CHRISTOPHER, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 01/2021 | < 5% |
| SANG, DALE, MYUNKIEW | Individual | – | CHIEF TECHNOLOGY AND OPERATIONS OFFICER, SENIOR MANAGING DIRECTOR | 07/2020 | < 5% |
| KARAOGLAN, ALAIN, MAURICE | Individual | – | ELECTED TO THE BOARD OF MANAGERS | 10/2022 | < 5% |
| DEPALMA, MICHAEL | Individual | – | SENIOR MANAGING DIRECTOR | 06/2023 | < 5% |
| MORIARTY, CORNELIUS, JOSEPH | Individual | – | SENIOR MANAGING DIRECTOR | 01/2018 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABRDN NATL MUN INCOME FD | SH BEN INT | 4M | 402K | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.125% 5/0 | 4M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| AKAMAI TECHNOLOGIES INC | NOTE 0.375% 9/0 | 35M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| AKAMAI TECHNOLOGIES INC | NOTE 0.375% 9/0 | 2M | – | – |
| ALNYLAM PHARMACEUTICALS INC | NOTE 1.000% 9/1 | 746K | – | – |
| ALNYLAM PHARMACEUTICALS INC | NOTE 1.000% 9/1 | 12M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 14M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 285K | – | – |
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 2M | 33K | – |
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 7M | 109K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | 39M | 597K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ARES CAPITAL CORP | COM | 8M | 393K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ARRAY TECHNOLOGIES INC | NOTE 1.000%12/0 | 729K | – | – |
| ARRAY TECHNOLOGIES INC | NOTE 1.000%12/0 | 4M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ARRAY TECHNOLOGIES INC | NOTE 1.000%12/0 | 13M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BANK AMERICA CORP | 7.25%CNV PFD L | 28M | 24K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BANK AMERICA CORP | 7.25%CNV PFD L | 2M | 2K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 6M | 5K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BENTLEY SYS INC | NOTE 0.125% 1/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BENTLEY SYS INC | NOTE 0.125% 1/1 | 995K | – | – |
| BILL HOLDINGS INC | NOTE 12/0 | 69K | – | – |
| BIOMARIN PHARMACEUTICAL INC | NOTE 1.250% 5/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BIOMARIN PHARMACEUTICAL INC | NOTE 1.250% 5/1 | 3M | – | – |
| BIOMARIN PHARMACEUTICAL INC | NOTE 1.250% 5/1 | 60M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKLINE INC | NOTE 3/1 | 441K | – | – |
| BLACKROCK MUN INCOME QUALITY | COM | 165K | 14K | – |
| BLACKROCK MUN INCOME QUALITY | COM | 208K | 18K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUN INCOME TR | SH BEN INT | 2M | 223K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUN INCOME TR | SH BEN INT | 3M | 328K | – |
| BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 9M | 427K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 20M | 974K | – |
| BLACKROCK MUNI INCOME TR II | COM | 831K | 77K | – |
| BLACKROCK MUNI INCOME TR II | COM | 807K | 75K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNICIPAL INCOME | COM | 7M | 565K | – |
| BLACKROCK MUNICIPAL INCOME | COM | 3M | 215K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIHLDGS NJ QLTY | COM | 4M | 385K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIHLDGS NJ QLTY | COM | 10M | 875K | – |
| BLACKROCK MUNIHLDGS NY QLTY | COM | 6M | 528K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIHLDGS NY QLTY | COM | 6M | 588K | – |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 812K | 73K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 649K | 58K | – |
| BLACKROCK MUNIHOLDINGS FD IN | COM | 15M | 1M | – |
| BLACKROCK MUNIHOLDINGS FD IN | COM | 6M | 522K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIVEST FD INC | COM | 9M | 1M | – |
| BLACKROCK MUNIVEST FD INC | COM | 2M | 337K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIYIELD FD INC | COM | 2M | 201K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIYIELD FD INC | COM | 2M | 188K | – |
| BLACKROCK MUNIYIELD MICH QU | COM | 3M | 245K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIYIELD MICH QU | COM | 5M | 420K | – |
| BLACKROCK MUNIYIELD N Y QUAL | COM | 3M | 275K | – |
| BLACKROCK MUNIYIELD N Y QUAL | COM | 6M | 555K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIYIELD QUALITY | COM | 6M | 588K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK MUNIYIELD QUALITY | COM | 4M | 404K | – |
| BLACKROCK MUNIYILD QULT FD I | COM | 867K | 71K | – |
| BLACKROCK MUNIYILD QULT FD I | COM | 4M | 287K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 614K | 57K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 485K | 45K | – |
| BLOCK INC | NOTE 0.125% 3/0 | 98K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| BLOCK INC | NOTE 0.125% 3/0 | 3M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 3M | – | – |
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 44M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BRIDGEBIO PHARMA INC | NOTE 2.250% 2/0 | 18M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| BRIDGEBIO PHARMA INC | NOTE 2.250% 2/0 | 580K | – | – |
| CABLE ONE INC | NOTE 1.125% 3/1 | 10M | – | – |
| CABLE ONE INC | NOTE 1.125% 3/1 | 18M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CABLE ONE INC | NOTE 1.125% 3/1 | 52K | – | MCMORGAN & CO LLC |
| CABLE ONE INC | NOTE 3/1 | 12M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CABLE ONE INC | NOTE 3/1 | 70K | – | MCMORGAN & CO LLC |
| CABLE ONE INC | NOTE 3/1 | 10M | – | – |
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 4M | – | – |
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 44K | – | MCMORGAN & CO LLC |
| CHART INDS INC | 6.75DP CNV PFD B | 778K | 14K | – |
| CHART INDS INC | 6.75DP CNV PFD B | 103K | 2K | OPPENHEIMER ASSET MANAGEMENT INC. |
| CHART INDS INC | 6.75DP CNV PFD B | 3M | 59K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHART INDS INC | 6.75DP CNV PFD B | 19M | 337K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 17M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 198K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 706K | – | – |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 200K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 36M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 2M | – | – |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CHEGG INC | NOTE 9/0 | 36K | – | – |
| CONMED CORP | NOTE 2.250% 6/1 | 42M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| CONMED CORP | NOTE 2.250% 6/1 | 163K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| CONMED CORP | NOTE 2.250% 6/1 | 2M | – | – |
| CONMED CORP | NOTE 2.250% 6/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DANAHER CORPORATION | COM | 38M | 150K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DATADOG INC | NOTE 0.125% 6/1 | 2M | – | – |
| DATADOG INC | NOTE 0.125% 6/1 | 29M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DATADOG INC | NOTE 0.125% 6/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DATADOG INC | NOTE 0.125% 6/1 | 217K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| DEXCOM INC | NOTE 0.250%11/1 | 183K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| DEXCOM INC | NOTE 0.250%11/1 | 2M | – | – |
| DEXCOM INC | NOTE 0.250%11/1 | 33M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DEXCOM INC | NOTE 0.250%11/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DISH NETWORK CORPORATION | NOTE 3.375% 8/1 | 1M | – | – |
| DISH NETWORK CORPORATION | NOTE 3.375% 8/1 | 2M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DISH NETWORK CORPORATION | NOTE 3.375% 8/1 | 9K | – | MCMORGAN & CO LLC |
| DROPBOX INC | NOTE 3/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DROPBOX INC | NOTE 3/0 | 21M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DROPBOX INC | NOTE 3/0 | 196K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| DROPBOX INC | NOTE 3/0 | 1M | – | – |
| DUKE ENERGY CORP NEW | NOTE 4.125% 4/1 | 501K | – | – |
| DWS MUN INCOME TR NEW | COM | 1M | 131K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| DWS MUN INCOME TR NEW | COM | 426K | 45K | – |
| EATON VANCE MUN BD FD | COM | 1M | 99K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| EATON VANCE MUN BD FD | COM | 3M | 281K | – |
| EATON VANCE NEW YORK MUN BD | COM | 125K | 13K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| EATON VANCE NEW YORK MUN BD | COM | 4M | 414K | – |
| ENPHASE ENERGY INC | NOTE 3/0 | 166K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| ENPHASE ENERGY INC | NOTE 3/0 | 888K | – | – |
| ENPHASE ENERGY INC | NOTE 3/0 | 30M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ENPHASE ENERGY INC | NOTE 3/0 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ENVESTNET INC | NOTE 2.625%12/0 | 34M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ENVESTNET INC | NOTE 2.625%12/0 | 2M | – | – |
| ETSY INC | NOTE 0.125%10/0 | 4M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ETSY INC | NOTE 0.125%10/0 | 112K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| ETSY INC | NOTE 0.250% 6/1 | 41M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ETSY INC | NOTE 0.250% 6/1 | 2M | – | – |
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 808K | – | – |
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 23M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| EVERBRIDGE INC | NOTE 0.125%12/1 | 17K | – | – |
| EXACT SCIENCES CORP | NOTE 0.375% 3/0 | 49K | – | – |
| EXACT SCIENCES CORP | NOTE 0.375% 3/0 | 4M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| EXACT SCIENCES CORP | NOTE 0.375% 3/0 | 122K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| EXPEDIA GROUP INC | NOTE 2/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| EXPEDIA GROUP INC | NOTE 2/1 | 231K | – | – |
| FORD MTR CO DEL | NOTE 3/1 | 62M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| FORD MTR CO DEL | NOTE 3/1 | 183K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| FORD MTR CO DEL | NOTE 3/1 | 3M | – | – |
| FORD MTR CO DEL | NOTE 3/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| FORUM ENERGY TECHNOLOGIES IN | COM | 13M | 776K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| FORUM ENERGY TECHNOLOGIES IN | COM | 38K | 2K | MCMORGAN & CO LLC |
| FORUM ENERGY TECHNOLOGIES IN | COM | 3M | 164K | – |
| FORUM ENERGY TECHNOLOGIES IN | NOTE 9.000% 8/0 | 11M | – | – |
| FORUM ENERGY TECHNOLOGIES IN | NOTE 9.000% 8/0 | 66K | – | MCMORGAN & CO LLC |
| FORUM ENERGY TECHNOLOGIES IN | NOTE 9.000% 8/0 | 23M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 798K | – | – |
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 20M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| GULFPORT ENERGY CORP | COMMON SHARES | 123K | 816 | MCMORGAN & CO LLC |
| GULFPORT ENERGY CORP | COMMON SHARES | 32M | 215K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| GULFPORT ENERGY CORP | COMMON SHARES | 9M | 59K | – |
| HAEMONETICS CORP MASS | NOTE 3/0 | 197K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| HAEMONETICS CORP MASS | NOTE 3/0 | 17M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| HAEMONETICS CORP MASS | NOTE 3/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| HAEMONETICS CORP MASS | NOTE 3/0 | 1M | – | – |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 41M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 2M | – | – |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 207K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| IMPINJ INC | NOTE 1.125% 5/1 | 667K | – | – |
| IMPINJ INC | NOTE 1.125% 5/1 | 15M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 52M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 2M | – | – |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 213K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INTEGRA LIFESCIENCES HLDGS C | NOTE 0.500% 8/1 | 169K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| INTEGRA LIFESCIENCES HLDGS C | NOTE 0.500% 8/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 2M | 227K | – |
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 2M | 203K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INVESCO MUN OPPORTUNITY TR | COM | 1M | 107K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INVESCO MUN OPPORTUNITY TR | COM | 681K | 68K | – |
| INVESCO MUNICIPAL TRUST | COM | 592K | 59K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INVESCO MUNICIPAL TRUST | COM | 646K | 65K | – |
| INVESCO PA VALUE MUN INC TR | COM | 454K | 42K | – |
| INVESCO PA VALUE MUN INC TR | COM | 203K | 19K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| INVESCO QUALITY MUN INCOME T | COM | 2M | 188K | – |
| INVESCO TR INVT GRADE MUNS | COM | 815K | 79K | – |
| INVESCO TR INVT GRADE MUNS | COM | 1M | 126K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| IONIS PHARMACEUTICALS INC | NOTE 4/0 | 2M | – | – |
| IONIS PHARMACEUTICALS INC | NOTE 4/0 | 3M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| IONIS PHARMACEUTICALS INC | NOTE 4/0 | 106K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| IONIS PHARMACEUTICALS INC | NOTE 4/0 | 26M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ISHARES GOLD TR | ISHARES NEW | 41M | 930K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 61M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 3M | – | – |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 192K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 30M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 2M | – | – |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 193K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| LIBERTY MEDIA CORP DEL | NOTE 3.750% 3/1 | 1M | – | – |
| LIBERTY MEDIA CORP DEL | NOTE 3.750% 3/1 | 30M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 37M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 2M | – | – |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 197K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 162K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 2M | – | – |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 47M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MARRIOTT VACATIONS WORLDWIDE | NOTE 1/1 | 394K | – | – |
| MARRIOTT VACATIONS WORLDWIDE | NOTE 1/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MFS MUN INCOME TR | SH BEN INT | 2M | 333K | – |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 2M | – | – |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 42M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 146K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 72M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 3M | – | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 197K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| MIRUM PHARMACEUTICALS INC | NOTE 4.000% 5/0 | 2M | – | – |
| MIRUM PHARMACEUTICALS INC | NOTE 4.000% 5/0 | 40M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| MONGODB INC | NOTE 0.250% 1/1 | 986K | – | – |
| MONGODB INC | NOTE 0.250% 1/1 | 19M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NCL CORP LTD | NOTE 1.125% 2/1 | 41M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NCL CORP LTD | NOTE 1.125% 2/1 | 2M | – | – |
| NCL CORP LTD | NOTE 5.375% 8/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NCL CORP LTD | NOTE 5.375% 8/0 | 181K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| NCL CORP LTD | NOTE 5.375% 8/0 | 10K | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 3M | 65K | – |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 10M | 242K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 311K | 7K | OPPENHEIMER ASSET MANAGEMENT INC. |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 39M | 930K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NICE LTD | NOTE 9/1 | 3M | – | – |
| NICE LTD | NOTE 9/1 | 73M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NICE LTD | NOTE 9/1 | 268K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| NICE LTD | NOTE 9/1 | 9M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NINE ENERGY SERVICE INC | COM | 1K | 606 | MCMORGAN & CO LLC |
| NINE ENERGY SERVICE INC | COM | 194K | 116K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NINE ENERGY SERVICE INC | COM | 8K | 5K | – |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 1M | – | – |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 27M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 174K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| NRG ENERGY INC | DBCV 2.750% 6/0 | 3M | – | – |
| NRG ENERGY INC | DBCV 2.750% 6/0 | 55M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NRG ENERGY INC | DBCV 2.750% 6/0 | 190K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| NRG ENERGY INC | DBCV 2.750% 6/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUTANIX INC | NOTE 0.250%10/0 | 201K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| NUTANIX INC | NOTE 0.250%10/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUTANIX INC | NOTE 0.250%10/0 | 2M | – | – |
| NUTANIX INC | NOTE 0.250%10/0 | 40M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVASIVE INC | NOTE 0.375% 3/1 | 8M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVASIVE INC | NOTE 0.375% 3/1 | 947K | – | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 18M | 1M | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 10M | 841K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN AMT FREE QLTY MUN INC | COM | 36M | 3M | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 7M | 647K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN CA QUALTY MUN INCOME | COM | 5M | 462K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN CA QUALTY MUN INCOME | COM | 19M | 2M | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 28M | 2M | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 9M | 721K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 7M | 623K | – |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 2M | 174K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN NEW YORK QLT MUN INC | COM | 427K | 38K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN NEW YORK QLT MUN INC | COM | 135K | 12K | – |
| NUVEEN PENNSYLVANIA QLT MUN | COM | 3M | 233K | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 6M | 491K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| NUVEEN QUALITY MUNCP INCOME | COM | 20M | 2M | – |
| NUVEEN TAXABLE MUNICPAL INM | COM | 120K | 8K | – |
| NUVEEN TAXABLE MUNICPAL INM | COM | 5M | 322K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| OIL STS INTL INC | NOTE 4.750% 4/0 | 2M | – | – |
| OIL STS INTL INC | NOTE 4.750% 4/0 | 32M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| OKTA INC | NOTE 0.125% 9/0 | 930K | – | – |
| OKTA INC | NOTE 0.125% 9/0 | 12M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 2M | – | – |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 46M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 205K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 13M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 72M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 392K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 2M | – | – |
| PATRICK INDS INC | NOTE 1.750%12/0 | 265K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| PATRICK INDS INC | NOTE 1.750%12/0 | 9M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PATRICK INDS INC | NOTE 1.750%12/0 | 2M | – | – |
| PATRICK INDS INC | NOTE 1.750%12/0 | 41M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 304K | – | – |
| PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 159K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| PEBBLEBROOK HOTEL TR | NOTE 1.750%12/1 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PERMIAN RESOURCES CORP | NOTE 3.250% 4/0 | 2M | – | – |
| PERMIAN RESOURCES CORP | NOTE 3.250% 4/0 | 40M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PIONEER MUNICIPAL HIGH INCOM | COM | 2M | 200K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PIONEER MUNICIPAL HIGH INCOM | COM | 5M | 616K | – |
| PIONEER MUNICIPAL HIGH INCOM | COM SHS | 2M | 201K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| PIONEER MUNICIPAL HIGH INCOM | COM SHS | 5M | 596K | – |
| POST HLDGS INC | NOTE 2.500% 8/1 | 57M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| POST HLDGS INC | NOTE 2.500% 8/1 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| POST HLDGS INC | NOTE 2.500% 8/1 | 199K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| POST HLDGS INC | NOTE 2.500% 8/1 | 2M | – | – |
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 480K | – | – |
| Q2 HLDGS INC | NOTE 0.750% 6/0 | 7M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| Q2 HLDGS INC | NOTE 0.750% 6/0 | 559K | – | – |
| RIVIAN AUTOMOTIVE INC | NOTE 4.625% 3/1 | 15M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| RIVIAN AUTOMOTIVE INC | NOTE 4.625% 3/1 | 592K | – | – |
| ROYAL CARIBBEAN GROUP | NOTE 6.000% 8/1 | 24M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ROYAL CARIBBEAN GROUP | NOTE 6.000% 8/1 | 1M | – | – |
| SHIFT4 PMTS INC | NOTE 12/1 | 2M | – | – |
| SHIFT4 PMTS INC | NOTE 12/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SHIFT4 PMTS INC | NOTE 12/1 | 205K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| SHIFT4 PMTS INC | NOTE 12/1 | 34M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SOLAREDGE TECHNOLOGIES INC | NOTE 9/1 | 15M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SOLAREDGE TECHNOLOGIES INC | NOTE 9/1 | 507K | – | – |
| SOUTHERN CO | NOTE 3.875%12/1 | 665K | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 2M | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 57M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 145K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SPDR GOLD TR | GOLD SHS | 10M | 48K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SUMMIT HOTEL PPTYS | NOTE 1.500% 2/1 | 23M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| SUMMIT HOTEL PPTYS | NOTE 1.500% 2/1 | 747K | – | – |
| TALOS ENERGY INC | COM | 75K | 6K | MCMORGAN & CO LLC |
| TALOS ENERGY INC | COM | 33M | 3M | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TALOS ENERGY INC | COM | 5M | 440K | – |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 20M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 152K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 1M | – | – |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 5M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TRANSMEDICS GROUP INC | NOTE 1.500% 6/0 | 203K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| TRANSMEDICS GROUP INC | NOTE 1.500% 6/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TRANSMEDICS GROUP INC | NOTE 1.500% 6/0 | 80M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TRANSMEDICS GROUP INC | NOTE 1.500% 6/0 | 3M | – | – |
| TURNING PT BRANDS INC | COM | 218K | 7K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| TYLER TEX INDPT SCH DIST | NOTE 0.250% 3/1 | 1M | – | – |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 199K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 57K | – | – |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| VAIL RESORTS INC | NOTE 1/0 | 26M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| VAIL RESORTS INC | NOTE 1/0 | 2M | – | – |
| VAIL RESORTS INC | NOTE 1/0 | 193K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| VAIL RESORTS INC | NOTE 1/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| VODAFONE GROUP PLC NEW | SPONSORED ADR | 10M | 1M | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| WELLS FARGO CO NEW | PERP PFD CNV A | 90K | 76 | OPPENHEIMER ASSET MANAGEMENT INC. |
| WELLS FARGO CO NEW | PERP PFD CNV A | 3M | 2K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 28M | 24K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| WELLS FARGO CO NEW | PERP PFD CNV A | 3M | 2K | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| WOLFSPEED INC | NOTE 0.250% 2/1 | 130K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| WOLFSPEED INC | NOTE 0.250% 2/1 | 4M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZIFF DAVIS INC | NOTE 1.750%11/0 | 565K | – | – |
| ZIFF DAVIS INC | NOTE 1.750%11/0 | 8M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZILLOW GROUP INC | NOTE 1.375% 9/0 | 6M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZILLOW GROUP INC | NOTE 1.375% 9/0 | 53M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZILLOW GROUP INC | NOTE 1.375% 9/0 | 3M | – | – |
| ZILLOW GROUP INC | NOTE 1.375% 9/0 | 193K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| ZILLOW GROUP INC | NOTE 2.750% 5/1 | 10K | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZSCALER INC | NOTE 0.125% 7/0 | 238K | – | OPPENHEIMER ASSET MANAGEMENT INC. |
| ZSCALER INC | NOTE 0.125% 7/0 | 2M | – | – |
| ZSCALER INC | NOTE 0.125% 7/0 | 24M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |
| ZSCALER INC | NOTE 0.125% 7/0 | 8M | – | NEW YORK LIFE INVESTMENT MANAGEMENT LLC |