# EDGAR Filing Document

**Accession Number:** 0001097278
**File Stem:** 0001140361-23-006592
**Filing Date:** 2023-2
**Character Count:** 30745
**Document Hash:** b07ed0045bc158570638c0a4a32bc7dd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-006592.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001140361-23-006592

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ADVENT CAPITAL MANAGEMENT /DE/
- **CENTRAL INDEX KEY:** 0001097278
- **IRS NUMBER:** 134168910
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-05049
- **FILM NUMBER:** 23623821

**BUSINESS ADDRESS:**
- **STREET 1:** 888 SEVENTH AVENUE, 31ST FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 2124821600

**MAIL ADDRESS:**
- **STREET 1:** 888 SEVENTH AVENUE, 31ST FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** ADVENT CAPITAL MANAGEMENT /DE/<br>**Address:** 888 SEVENTH AVENUE 31ST FLOOR<br>NEW YORK, NY 10019

**Form 13F File Number:** 028-05049

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Paul L Latronica<br>**Title:** Managing Director and Portfolio Manager<br>**Phone:** 212-482-1606

**Signature, Place, and Date of Signing:**

/s/ Paul L Latronica  New York, NY  02-10-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 2

**Form 13F Information Table Entry Total:** 253

**Form 13F Information Table Value Total:** $5763676648

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                                     | Form 13F File Number   |
|:---|:---|:---|
|  | GUGGENHEIM FUNDS INVESTMENT ADVISORS LLC | 028-11097              |
|  | Russell Investments Group Ltd.           | 028-17598              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| AMERICAN AIRLINES GROUP | CONV | 02376RAF9 |  | 31925673 | 30147000 | PRN |  | SOLE |  | 26330000 | 0 | 3817000 |
| AIRBNB INC | CONV | 009066AB7 |  | 69193410 | 83820000 | PRN |  | SOLE |  | 48752000 | 3918000 | 31150000 |
| AKAMAI TECHNOLOGIES INC | CONV | 00971TAJ0 |  | 7912500 | 7500000 | PRN |  | SOLE |  | 7500000 | 0 | 0 |
| AKAMAI TECHNOLOGIES INC | CONV | 00971TAL5 |  | 43703264 | 45148000 | PRN |  | SOLE |  | 41405000 | 0 | 3743000 |
| ARES CAPITAL CORP | CONV | 04010LAW3 |  | 28706872 | 26939000 | PRN |  | SOLE |  | 25637000 | 0 | 1302000 |
| APOLLO CMMRL REAL EST FI | CONV | 03762UAC9 |  | 4913 | 5000 | PRN |  | SOLE |  | 0 | 5000 | 0 |
| ARRAY TECHNOLOGIES INC | CONV | 04271TAB6 |  | 10315107 | 10098000 | PRN |  | SOLE |  | 9277000 | 0 | 821000 |
| ATI INC | CONV | 01741RAK8 |  | 7250400 | 3600000 | PRN |  | SOLE |  | 3600000 | 0 | 0 |
| AIR TRANSPORT SERVICES G | CONV | 00922RAB1 |  | 8851050 | 8500000 | PRN |  | SOLE |  | 8500000 | 0 | 0 |
| ALTERYX INC | CONV | 02156BAD5 |  | 7042203 | 7639000 | PRN |  | SOLE |  | 7639000 | 0 | 0 |
| ALTERYX INC | CONV | 02156BAF0 |  | 59123400 | 70385000 | PRN |  | SOLE |  | 39528000 | 2909000 | 27948000 |
| BLOOM ENERGY CORP | CONV | 093712AH0 |  | 13279099 | 9832000 | PRN |  | SOLE |  | 8508000 | 0 | 1324000 |
| BRAEMAR HOTELS  RESORTS | CONV | 10482BAB7 |  | 1460507 | 1540000 | PRN |  | SOLE |  | 1540000 | 0 | 0 |
| BILL.COM HOLDINGS INC | CONV | 090043AD2 |  | 17501000 | 22000000 | PRN |  | SOLE |  | 10201000 | 97000 | 11702000 |
| BILL.COM HOLDINGS INC | CONV | 090043AB6 |  | 49713052 | 48359000 | PRN |  | SOLE |  | 32310000 | 1878000 | 14171000 |
| BOOKING HOLDINGS INC | CONV | 09857LAN8 |  | 132862856 | 99381000 | PRN |  | SOLE |  | 92547000 | 0 | 6834000 |
| BLACKLINE INC | CONV | 09239BAB5 |  | 136986 | 123000 | PRN |  | SOLE |  | 123000 | 0 | 0 |
| BLACKLINE INC | CONV | 09239BAD1 |  | 68277514 | 79682000 | PRN |  | SOLE |  | 50765000 | 3910000 | 25007000 |
| BIOMARIN PHARMACEUTICAL | CONV | 09061GAH4 |  | 23940819 | 22505000 | PRN |  | SOLE |  | 10435000 | 104000 | 11966000 |
| BIOMARIN PHARMACEUTICAL | CONV | 09061GAK7 |  | 34615044 | 32064000 | PRN |  | SOLE |  | 17607000 | 2339000 | 12118000 |
| BENTLEY SYSTEMS INC | CONV | 08265TAB5 |  | 22719592 | 24776000 | PRN |  | SOLE |  | 22441000 | 63000 | 2272000 |
| BENTLEY SYSTEMS | CONV | 08265TAD1 |  | 37067121 | 45259000 | PRN |  | SOLE |  | 21797000 | 2248000 | 21214000 |
| BURLINGTON STORES INC | CONV | 122017AB2 |  | 8974350 | 7770000 | PRN |  | SOLE |  | 7720000 | 50000 | 0 |
| BLACKSTONE MORTGAGE TR | CONV | 09257WAE0 |  | 14821367 | 17297000 | PRN |  | SOLE |  | 16447000 | 0 | 850000 |
| CABLE ONE INC | CONV | 12685JAG0 |  | 8976000 | 12000000 | PRN |  | SOLE |  | 11311000 | 0 | 689000 |
| CHEESECAKE FACTORY (THE) | CONV | 163072AA9 |  | 30719510 | 37264000 | PRN |  | SOLE |  | 18705000 | 3963000 | 14596000 |
| CRACKER BARREL OLD COUNT | CONV | 22410JAB2 |  | 27110738 | 31570000 | PRN |  | SOLE |  | 18156000 | 110000 | 13304000 |
| CONFLUENT INC | CONV | 20717MAB9 |  | 16274640 | 21414000 | PRN |  | SOLE |  | 9925000 | 94000 | 11395000 |
| CHEFS' WAREHOUSE THE | CONV | 163086AB7 |  | 57118 | 55000 | PRN |  | SOLE |  | 0 | 55000 | 0 |
| CHEGG INC | CONV | 163092AD1 |  | 40746175 | 44410000 | PRN |  | SOLE |  | 27524000 | 3060000 | 13826000 |
| COHERUS BIOSCIENCES INC | CONV | 19249HAB9 |  | 3428205 | 5214000 | PRN |  | SOLE |  | 3248000 | 1966000 | 0 |
| CINEMARK HOLDINGS INC | CONV | 17243VAB8 |  | 24656749 | 25682000 | PRN |  | SOLE |  | 23020000 | 0 | 2662000 |
| CNX RESOURCES CORP | CONV | 12653CAG3 |  | 13131617 | 8927000 | PRN |  | SOLE |  | 8127000 | 0 | 800000 |
| COUPA SOFTWARE INC | CONV | 22266LAC0 |  | 9810130 | 10100000 | PRN |  | SOLE |  | 10100000 | 0 | 0 |
| COUPA SOFTWARE INC | CONV | 22266LAF3 |  | 49692598 | 51415000 | PRN |  | SOLE |  | 24960000 | 3059000 | 23396000 |
| CYBERARK SOFTWARE LTD | CONV | 23248VAB1 |  | 32057825 | 30153000 | PRN |  | SOLE |  | 26893000 | 0 | 3260000 |
| DROPBOX INC | CONV | 26210CAC8 |  | 24946392 | 27474000 | PRN |  | SOLE |  | 16967000 | 126000 | 10381000 |
| DROPBOX INC | CONV | 26210CAD6 |  | 56469504 | 63024000 | PRN |  | SOLE |  | 47814000 | 82000 | 15128000 |
| DATADOG INC | CONV | 23804LAB9 |  | 9592188 | 8750000 | PRN |  | SOLE |  | 7063000 | 0 | 1687000 |
| DISH NETWORK CORP | CONV | 25470MAF6 |  | 7921760 | 12320000 | PRN |  | SOLE |  | 9704000 | 0 | 2616000 |
| DISH NETWORK CORP | CONV | 25470MAB5 |  | 31847528 | 50632000 | PRN |  | SOLE |  | 24738000 | 3014000 | 22880000 |
| DRAFTKINGS HOLDINGS INC | CONV | 26142RAB0 |  | 39831188 | 63375000 | PRN |  | SOLE |  | 32977000 | 6925000 | 23473000 |
| DIGITALOCEAN HOLDINGS | CONV | 25402DAB8 |  | 67834865 | 90146000 | PRN |  | SOLE |  | 55729000 | 4710000 | 29707000 |
| DOCUSIGN INC | CONV | 256163AD8 |  | 6426000 | 6800000 | PRN |  | SOLE |  | 6800000 | 0 | 0 |
| DEXCOM INC | CONV | 252131AK3 |  | 22967628 | 21023000 | PRN |  | SOLE |  | 17192000 | 50000 | 3781000 |
| DEXCOM INC | CONV | 252131AH0 |  | 3801214 | 1379000 | PRN |  | SOLE |  | 1138000 | 0 | 241000 |
| EURONET WORLDWIDE INC | CONV | 298736AL3 |  | 52485792 | 54923000 | PRN |  | SOLE |  | 51240000 | 0 | 3683000 |
| ELEVANCE HEALTH INC | CONV | 94973VBG1 |  | 54011944 | 7381000 | PRN |  | SOLE |  | 6759000 | 0 | 622000 |
| ENPHASE ENERGY INC | CONV | 29355AAK3 |  | 19850883 | 16903000 | PRN |  | SOLE |  | 14227000 | 0 | 2676000 |
| EQT CORP | CONV | 26884LAK5 |  | 87662744 | 37672000 | PRN |  | SOLE |  | 33960000 | 0 | 3712000 |
| ETSY INC | CONV | 29786AAN6 |  | 34175523 | 39679000 | PRN |  | SOLE |  | 19823000 | 162000 | 19694000 |
| ETSY INC | CONV | 29786AAL0 |  | 19935715 | 19886000 | PRN |  | SOLE |  | 15526000 | 1663000 | 2697000 |
| EVERBRIDGE INC | CONV | 29978AAC8 |  | 33717 | 37000 | PRN |  | SOLE |  | 0 | 37000 | 0 |
| EVOLENT HEALTH INC | CONV | 30050BAD3 |  | 30036416 | 27607000 | PRN |  | SOLE |  | 19766000 | 3746000 | 4095000 |
| EXACT SCIENCES CORP | CONV | 30063PAC9 |  | 51547291 | 65349000 | PRN |  | SOLE |  | 36861000 | 4546000 | 23942000 |
| EXACT SCIENCES CORP | CONV | 30063PAB1 |  | 8934120 | 10764000 | PRN |  | SOLE |  | 7594000 | 0 | 3170000 |
| EXPEDIA GROUP INC | CONV | 30212PBE4 |  | 83390193 | 95202000 | PRN |  | SOLE |  | 76654000 | 1922000 | 16626000 |
| NATIONAL VISION HOLDINGS | CONV | 63845RAB3 |  | 4998819 | 3630000 | PRN |  | SOLE |  | 3630000 | 0 | 0 |
| FORD MOTOR COMPANY | CONV | 345370CZ1 |  | 106121974 | 111884000 | PRN |  | SOLE |  | 80748000 | 2912000 | 28224000 |
| FIVE9 INC | CONV | 338307AD3 |  | 85117395 | 92670000 | PRN |  | SOLE |  | 64826000 | 3135000 | 24709000 |
| SHIFT4 PAYMENTS INC | CONV | 82452JAD1 |  | 33406276 | 39464000 | PRN |  | SOLE |  | 22564000 | 139000 | 16761000 |
| SHIFT4 PAYMENTS INC | CONV | 82452JAB5 |  | 58245058 | 58501000 | PRN |  | SOLE |  | 45559000 | 1831000 | 11111000 |
| GUESS INC | CONV | 401617AD7 |  | 5328125 | 5000000 | PRN |  | SOLE |  | 5000000 | 0 | 0 |
| GREEN PLAINS INC | CONV | 393222AK0 |  | 9592 | 8000 | PRN |  | SOLE |  | 8000 | 0 | 0 |
| HAEMONETICS CORP | CONV | 405024AB6 |  | 49913746 | 60043000 | PRN |  | SOLE |  | 30827000 | 5181000 | 24035000 |
| HALOZYME THERAPEUTICS IN | CONV | 40637HAD1 |  | 16543125 | 17000000 | PRN |  | SOLE |  | 8253000 | 71000 | 8676000 |
| HEALTH CATALYST INC | CONV | 42225TAB3 |  | 17298604 | 19736000 | PRN |  | SOLE |  | 15743000 | 2740000 | 1253000 |
| HERBALIFE LTD | CONV | 42703MAD5 |  | 13946083 | 15085000 | PRN |  | SOLE |  | 11956000 | 2599000 | 530000 |
| REALOGY GROUP/CO-ISSUER | CONV | 75606DAP6 |  | 17074816 | 24254000 | PRN |  | SOLE |  | 21513000 | 0 | 2741000 |
| H WORLD GROUP LTD | CONV | 44332NAB2 |  | 3553950 | 2900000 | PRN |  | SOLE |  | 1506000 | 0 | 1394000 |
| HUBSPOT INC | CONV | 443573AD2 |  | 14467106 | 11719000 | PRN |  | SOLE |  | 10630000 | 0 | 1089000 |
| INTEGRA LIFESCIENCES HLD | CONV | 457985AM1 |  | 9388333 | 9634000 | PRN |  | SOLE |  | 9634000 | 0 | 0 |
| ILLUMINA INC | CONV | 452327AK5 |  | 65402030 | 67357000 | PRN |  | SOLE |  | 45522000 | 115000 | 21720000 |
| IMAX CORP | CONV | 45245EAJ8 |  | 28666145 | 33788000 | PRN |  | SOLE |  | 16826000 | 2035000 | 14927000 |
| SUMMIT HOTEL PROPERTIES | CONV | 866082AA8 |  | 19314615 | 22485000 | PRN |  | SOLE |  | 14142000 | 1648000 | 6695000 |
| IONIS PHARMACEUTICALS IN | CONV | 462222AB6 |  | 9417713 | 10314000 | PRN |  | SOLE |  | 10275000 | 39000 | 0 |
| IONIS PHARMACEUTICALS IN | CONV | 462222AD2 |  | 17123906 | 18450000 | PRN |  | SOLE |  | 8551000 | 82000 | 9817000 |
| ITRON INC | CONV | 465741AN6 |  | 34879692 | 42340000 | PRN |  | SOLE |  | 26648000 | 122000 | 15570000 |
| JAMF HOLDING CORP | CONV | 47074LAB1 |  | 4140 | 5000 | PRN |  | SOLE |  | 5000 | 0 | 0 |
| JAZZ INVESTMENTS I LTD | CONV | 472145AD3 |  | 5612550 | 5680000 | PRN |  | SOLE |  | 5680000 | 0 | 0 |
| JAZZ INVESTMENTS I LTD | CONV | 472145AF8 |  | 45447256 | 38071000 | PRN |  | SOLE |  | 27994000 | 52000 | 10025000 |
| JETBLUE AIRWAYS CORP | CONV | 477143AP6 |  | 60967298 | 83053000 | PRN |  | SOLE |  | 49156000 | 3419000 | 30478000 |
| KAMAN CORP | CONV | 483548AF0 |  | 5383655 | 5761000 | PRN |  | SOLE |  | 3519000 | 2242000 | 0 |
| LITHIUM AMERICAS CORP | CONV | 53680QAA6 |  | 7840000 | 10000000 | PRN |  | SOLE |  | 8744000 | 0 | 1256000 |
| LCI INDUSTRIES | CONV | 501812AB7 |  | 3390000 | 4000000 | PRN |  | SOLE |  | 4000000 | 0 | 0 |
| LUMENTUM HOLDINGS INC | CONV | 55024UAD1 |  | 17570850 | 20372000 | PRN |  | SOLE |  | 14920000 | 3304000 | 2148000 |
| LUMENTUM HOLDINGS INC | CONV | 55024UAB5 |  | 6397780 | 6070000 | PRN |  | SOLE |  | 6070000 | 0 | 0 |
| LIBERTY MEDIA CORP | CONV | 531229AB8 |  | 33656294 | 27219000 | PRN |  | SOLE |  | 23880000 | 0 | 3339000 |
| LIVEPERSON INC | CONV | 538146AD3 |  | 27580785 | 38408000 | PRN |  | SOLE |  | 19999000 | 2445000 | 15964000 |
| SOUTHWEST AIRLINES CO | CONV | 844741BG2 |  | 159286021 | 132215000 | PRN |  | SOLE |  | 122234000 | 0 | 9981000 |
| LYFT INC | CONV | 55087PAB0 |  | 51508979 | 58172000 | PRN |  | SOLE |  | 39761000 | 1838000 | 16573000 |
| LIVE NATION ENTERTAINMEN | CONV | 538034AU3 |  | 44316540 | 44923000 | PRN |  | SOLE |  | 24728000 | 4287000 | 15908000 |
| MONGODB INC | CONV | 60937PAD8 |  | 48022759 | 40827000 | PRN |  | SOLE |  | 29472000 | 67000 | 11288000 |
| MERCADOLIBRE INC | CONV | 58733RAD4 |  | 6095 | 3000 | PRN |  | SOLE |  | 3000 | 0 | 0 |
| MAGNITE INC | CONV | 55955DAB6 |  | 1348778 | 1725000 | PRN |  | SOLE |  | 1617000 | 0 | 108000 |
| MGP INGREDIENTS INC | CONV | 55303JAB2 |  | 6698140 | 5300000 | PRN |  | SOLE |  | 5300000 | 0 | 0 |
| MIDDLEBY CORP | CONV | 596278AB7 |  | 14946311 | 12661000 | PRN |  | SOLE |  | 11257000 | 0 | 1404000 |
| MAKEMYTRIP LIMITED | CONV | 56087FAB0 |  | 3171644 | 3178000 | PRN |  | SOLE |  | 1856000 | 0 | 1322000 |
| VAIL RESORTS INC | CONV | 91879QAN9 |  | 34667553 | 37177000 | PRN |  | SOLE |  | 19660000 | 2891000 | 14626000 |
| M/A-COM TECH SOLUTIONS | CONV | 55405YAB6 |  | 8628282 | 8676000 | PRN |  | SOLE |  | 7575000 | 0 | 1101000 |
| NEUROCRINE BIOSCIENCES | CONV | 64125CAD1 |  | 4760 | 3000 | PRN |  | SOLE |  | 3000 | 0 | 0 |
| NCL CORPORATION LTD | CONV | 62886HBD2 |  | 58540802 | 85611000 | PRN |  | SOLE |  | 51600000 | 3976000 | 30035000 |
| NCL CORPORATION LTD | CONV | 62886HAX9 |  | 12329228 | 12165000 | PRN |  | SOLE |  | 10926000 | 62000 | 1177000 |
| NEOGENOMICS INC | CONV | 64049MAB6 |  | 17830358 | 27168000 | PRN |  | SOLE |  | 14595000 | 5123000 | 7450000 |
| NEOGENOMICS INC | CONV | 64049MAA8 |  | 24119827 | 28439000 | PRN |  | SOLE |  | 17614000 | 79000 | 10746000 |
| CLOUDFLARE INC | CONV | 18915MAC1 |  | 54283180 | 66199000 | PRN |  | SOLE |  | 42480000 | 2485000 | 21234000 |
| NEW RELIC INC | CONV | 64829BAB6 |  | 2141412 | 2184000 | PRN |  | SOLE |  | 2184000 | 0 | 0 |
| NICE LTD | CONV | 653656AB4 |  | 6136010 | 6476000 | PRN |  | SOLE |  | 3840000 | 1719000 | 917000 |
| NEW MOUNTAIN FINANCE COR | CONV | 647551AC4 |  | 15749628 | 15799000 | PRN |  | SOLE |  | 13045000 | 0 | 2754000 |
| SUNNOVA ENERGY INTL INC | CONV | 86745KAF1 |  | 5450 | 7000 | PRN |  | SOLE |  | 7000 | 0 | 0 |
| NRG ENERGY INC | CONV | 629377CG5 |  | 19215284 | 19341000 | PRN |  | SOLE |  | 17585000 | 0 | 1756000 |
| NUTANIX INC | CONV | 67059NAH1 |  | 54917132 | 65261000 | PRN |  | SOLE |  | 40407000 | 2062000 | 22792000 |
| NATERA INC | CONV | 632307AB0 |  | 6385 | 5000 | PRN |  | SOLE |  | 5000 | 0 | 0 |
| NUVASIVE INC | CONV | 670704AJ4 |  | 28763847 | 32742000 | PRN |  | SOLE |  | 17305000 | 2135000 | 13302000 |
| NUVASIVE INC | CONV | 670704AL9 |  | 12887125 | 13100000 | PRN |  | SOLE |  | 13100000 | 0 | 0 |
| ENVISTA HOLDINGS CORP | CONV | 29415FAB0 |  | 4631000 | 2750000 | PRN |  | SOLE |  | 2750000 | 0 | 0 |
| OKTA INC | CONV | 679295AD7 |  | 17892642 | 20252000 | PRN |  | SOLE |  | 18280000 | 0 | 1972000 |
| OKTA INC | CONV | 679295AF2 |  | 36866505 | 43629000 | PRN |  | SOLE |  | 24740000 | 2224000 | 16665000 |
| OMNICELL INC | CONV | 68213NAD1 |  | 56858541 | 64833000 | PRN |  | SOLE |  | 44618000 | 1998000 | 18217000 |
| ON SEMICONDUCTOR CORP | CONV | 682189AS4 |  | 5985000 | 4500000 | PRN |  | SOLE |  | 4500000 | 0 | 0 |
| OAK STREET HEALTH INC | CONV | 67181AAB3 |  | 39805927 | 52243000 | PRN |  | SOLE |  | 28841000 | 4785000 | 18617000 |
| PALO ALTO NETWORKS | CONV | 697435AF2 |  | 64497103 | 43535000 | PRN |  | SOLE |  | 38744000 | 0 | 4791000 |
| PAGERDUTY INC. | CONV | 69553PAB6 |  | 12508209 | 12366000 | PRN |  | SOLE |  | 10533000 | 1833000 | 0 |
| PEBBLEBROOK HOTEL TRUST | CONV | 70509VAA8 |  | 42492125 | 51350000 | PRN |  | SOLE |  | 33417000 | 1965000 | 15968000 |
| PENN ENTERTAINMENT INC | CONV | 707569AU3 |  | 18304104 | 12376000 | PRN |  | SOLE |  | 11637000 | 0 | 739000 |
| INSULET CORPORATION | CONV | 45784PAK7 |  | 21976253 | 15509000 | PRN |  | SOLE |  | 14110000 | 0 | 1399000 |
| PERMIAN RESOURC OPTG LLC | CONV | 15136AAA0 |  | 3889565 | 2290000 | PRN |  | SOLE |  | 1923000 | 0 | 367000 |
| PRA GROUP INC | CONV | 69354NAB2 |  | 15696439 | 15863000 | PRN |  | SOLE |  | 7430000 | 69000 | 8364000 |
| PERFICIENT INC | CONV | 71375UAF8 |  | 17485975 | 22490000 | PRN |  | SOLE |  | 10432000 | 88000 | 11970000 |
| PROS HOLDINGS INC | CONV | 74346YAH6 |  | 69747 | 75000 | PRN |  | SOLE |  | 0 | 75000 | 0 |
| PARSONS CORP | CONV | 70202LAB8 |  | 13333862 | 11681000 | PRN |  | SOLE |  | 11681000 | 0 | 0 |
| PIONEER NATURAL RESOURCE | CONV | 723787AP2 |  | 88443765 | 37845000 | PRN |  | SOLE |  | 34634000 | 0 | 3211000 |
| Q2 HOLDINGS INC | CONV | 74736LAD1 |  | 36834408 | 44486000 | PRN |  | SOLE |  | 28549000 | 2814000 | 13123000 |
| ROYAL CARIBBEAN CRUISES | CONV | 780153BF8 |  | 5925648 | 6022000 | PRN |  | SOLE |  | 6022000 | 0 | 0 |
| REPLIGEN CORP | CONV | 759916AB5 |  | 8169148 | 5080000 | PRN |  | SOLE |  | 5080000 | 0 | 0 |
| TRANSOCEAN INC | CONV | 893830BT5 |  | 5814809 | 4810000 | PRN |  | SOLE |  | 4810000 | 0 | 0 |
| RINGCENTRAL INC | CONV | 76680RAF4 |  | 27041421 | 31307000 | PRN |  | SOLE |  | 29075000 | 0 | 2232000 |
| RINGCENTRAL INC | CONV | 76680RAH0 |  | 45324670 | 57373000 | PRN |  | SOLE |  | 29998000 | 3437000 | 23938000 |
| RAPID7 INC | CONV | 753422AF1 |  | 16801408 | 21376000 | PRN |  | SOLE |  | 13468000 | 66000 | 7842000 |
| RAPID7 INC | CONV | 753422AD6 |  | 4333500 | 4500000 | PRN |  | SOLE |  | 4500000 | 0 | 0 |
| REDWOOD TRUST INC | CONV | 758075AC9 |  | 24784570 | 25162000 | PRN |  | SOLE |  | 11664000 | 109000 | 13389000 |
| REDWOOD TRUST INC | CONV | 758075AD7 |  | 10065 | 11000 | PRN |  | SOLE |  | 3000 | 8000 | 0 |
| SABRE GLBL INC | CONV | 78573NAE2 |  | 5002201 | 4645000 | PRN |  | SOLE |  | 4368000 | 0 | 277000 |
| SPIRIT AIRLINES INC | CONV | 848577AB8 |  | 38317050 | 47305000 | PRN |  | SOLE |  | 29075000 | 2537000 | 15693000 |
| SEA LTD | CONV | 81141RAG5 |  | 2649100 | 3592000 | PRN |  | SOLE |  | 2263000 | 0 | 1329000 |
| SEA LTD | CONV | 81141RAF7 |  | 1579040 | 1600000 | PRN |  | SOLE |  | 881000 | 0 | 719000 |
| SOLAR EDGE TECHNOLOGIES | CONV | 83417MAD6 |  | 12661947 | 10158000 | PRN |  | SOLE |  | 8939000 | 0 | 1219000 |
| SHAKE SHACK INC | CONV | 819047AB7 |  | 7349 | 11000 | PRN |  | SOLE |  | 11000 | 0 | 0 |
| SHOPIFY INC | CONV | 82509LAA5 |  | 6383089 | 7433000 | PRN |  | SOLE |  | 7433000 | 0 | 0 |
| SILICON LABORATORIES INC | CONV | 826919AD4 |  | 14828262 | 11821000 | PRN |  | SOLE |  | 9690000 | 0 | 2131000 |
| SNAP INC | CONV | 83304AAD8 |  | 8508373 | 9355000 | PRN |  | SOLE |  | 7272000 | 2083000 | 0 |
| SNAP INC | CONV | 83304AAB2 |  | 69646649 | 81865000 | PRN |  | SOLE |  | 55544000 | 3658000 | 22663000 |
| SPLUNK INC | CONV | 848637AC8 |  | 9848677 | 10169000 | PRN |  | SOLE |  | 10169000 | 0 | 0 |
| SPLUNK INC | CONV | 848637AF1 |  | 37782634 | 44513000 | PRN |  | SOLE |  | 23984000 | 1885000 | 18644000 |
| SPLUNK INC | CONV | 848637AD6 |  | 76112832 | 80628000 | PRN |  | SOLE |  | 56340000 | 3122000 | 21166000 |
| BLOCK INC | CONV | 852234AK9 |  | 30829530 | 40632000 | PRN |  | SOLE |  | 24113000 | 3208000 | 13311000 |
| BLOCK INC | CONV | 852234AF0 |  | 68756288 | 71902000 | PRN |  | SOLE |  | 49625000 | 2588000 | 19689000 |
| SAREPTA THERAPEUTICS INC | CONV | 803607AB6 |  | 13094 | 7000 | PRN |  | SOLE |  | 7000 | 0 | 0 |
| SAREPTA THERAPEUTICS INC | CONV | 803607AC4 |  | 24027385 | 20758000 | PRN |  | SOLE |  | 18340000 | 0 | 2418000 |
| STARWOOD PROPERTY TRUST | CONV | 85571BAH8 |  | 24359375 | 25000000 | PRN |  | SOLE |  | 11610000 | 108000 | 13282000 |
| LIVONGO HEALTH | CONV | 539183AA1 |  | 8189537 | 9319000 | PRN |  | SOLE |  | 7985000 | 0 | 1334000 |
| TELADOC HEALTH INC | CONV | 87918AAF2 |  | 28862597 | 37329000 | PRN |  | SOLE |  | 18223000 | 2656000 | 16450000 |
| LENDINGTREE INC | CONV | 52603BAD9 |  | 1721610 | 2350000 | PRN |  | SOLE |  | 2350000 | 0 | 0 |
| TYLER TECHNOLOGIES INC | CONV | 902252AB1 |  | 57012294 | 61041000 | PRN |  | SOLE |  | 43627000 | 1917000 | 15497000 |
| UNITY SOFTWARE INC | CONV | 91332UAB7 |  | 11646850 | 15457000 | PRN |  | SOLE |  | 13454000 | 0 | 2003000 |
| UBER TECHNOLOGIES INC | CONV | 90353TAJ9 |  | 43523540 | 51370000 | PRN |  | SOLE |  | 31642000 | 2563000 | 17165000 |
| UPWORK INC | CONV | 91688FAB0 |  | 33824233 | 44883000 | PRN |  | SOLE |  | 31095000 | 95000 | 13693000 |
| MARRIOTT VACATION WORLDW | CONV | 57164YAD9 |  | 16604140 | 16943000 | PRN |  | SOLE |  | 14165000 | 0 | 2778000 |
| VIAVI SOLUTIONS INC | CONV | 925550AB1 |  | 211628 | 210000 | PRN |  | SOLE |  | 210000 | 0 | 0 |
| VARONIS SYSTEM INC | CONV | 922280AB8 |  | 3056600 | 2900000 | PRN |  | SOLE |  | 2900000 | 0 | 0 |
| VERINT SYSTEMS INC | CONV | 92343XAC4 |  | 25375000 | 29000000 | PRN |  | SOLE |  | 13445000 | 128000 | 15427000 |
| VISHAY INTERTECHNOLOGY | CONV | 928298AP3 |  | 3870408 | 4000000 | PRN |  | SOLE |  | 4000000 | 0 | 0 |
| WAYFAIR INC | CONV | 94419LAD3 |  | 214837 | 250000 | PRN |  | SOLE |  | 250000 | 0 | 0 |
| WESTERN DIGITAL CORP | CONV | 958102AP0 |  | 112227618 | 117209000 | PRN |  | SOLE |  | 95494000 | 132000 | 21583000 |
| WINNEBAGO INDUSTRIES | CONV | 974637AB6 |  | 5163375 | 4900000 | PRN |  | SOLE |  | 4900000 | 0 | 0 |
| WOLFSPEED INC | CONV | 225447AD3 |  | 8304060 | 5153000 | PRN |  | SOLE |  | 5153000 | 0 | 0 |
| UNITED STATES STEEL CORP | CONV | 912909AT5 |  | 10486150 | 5230000 | PRN |  | SOLE |  | 5230000 | 0 | 0 |
| ZILLOW GROUP INC | CONV | 98954MAE1 |  | 9219047 | 8873000 | PRN |  | SOLE |  | 7069000 | 1804000 | 0 |
| ZILLOW GROUP INC | CONV | 98954MAG6 |  | 32798095 | 32234000 | PRN |  | SOLE |  | 20517000 | 1682000 | 10035000 |
| ZILLOW GROUP INC | CONV | 98954MAH4 |  | 37044044 | 38749000 | PRN |  | SOLE |  | 22923000 | 129000 | 15697000 |
| ZSCALER INC. | CONV | 98980GAB8 |  | 38813450 | 36790000 | PRN |  | SOLE |  | 31752000 | 0 | 5038000 |
| American Airlines Group Inc | COM | 02376R102 |  | 342804 | 26950 | SH |  | SOLE |  | 26950 | 0 | 0 |
| AbbVie Inc | COM | 00287Y109 |  | 2424150 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| ASML Holding NV | COM | N07059210 |  | 2458800 | 4500 | SH |  | SOLE |  | 4500 | 0 | 0 |
| Air Transport Services Group I | COM | 00922R105 |  | 62690 | 2413 | SH |  | SOLE |  | 2413 | 0 | 0 |
| Advent Convertible and Income | COM | 00764C109 |  | 643623 | 59048 | SH |  | SOLE |  | 59048 | 0 | 0 |
| Burlington Stores Inc | COM | 122017106 |  | 105841 | 522 | SH |  | SOLE |  | 522 | 0 | 0 |
| Enphase Energy Inc | COM | 29355A107 |  | 77898 | 294 | SH |  | SOLE |  | 294 | 0 | 0 |
| EQT Corp | COM | 26884L109 |  | 676600 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| Five9 Inc | COM | 338307101 |  | 1221 | 18 | SH |  | SOLE |  | 18 | 0 | 0 |
| Alphabet Inc | COM | 02079K107 |  | 2661900 | 30000 | SH |  | SOLE |  | 30000 | 0 | 0 |
| Halliburton Co | COM | 406216101 |  | 3935000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| IBM | COM | 459200101 |  | 3522250 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| IMAX Corp | COM | 45245E109 |  | 2639 | 180 | SH |  | SOLE |  | 180 | 0 | 0 |
| Summit Hotel Properties Inc | COM | 866082100 |  | 134003 | 18560 | SH |  | SOLE |  | 18560 | 0 | 0 |
| Ionis Pharmaceuticals Inc | COM | 462222100 |  | 17525 | 464 | SH |  | SOLE |  | 464 | 0 | 0 |
| KeyCorp | COM | 493267108 |  | 1742000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| Lowe's Cos Inc | COM | 548661107 |  | 2988600 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| Occidental Petroleum Corp | COM | 674599105 |  | 3149500 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| Parker-Hannifin Corp | COM | 701094104 |  | 3783000 | 13000 | SH |  | SOLE |  | 13000 | 0 | 0 |
| Pioneer Natural Resources Co | COM | 723787107 |  | 4430766 | 19400 | SH |  | SOLE |  | 19400 | 0 | 0 |
| Rapid7 Inc | COM | 753422104 |  | 81858 | 2409 | SH |  | SOLE |  | 2409 | 0 | 0 |
| Spirit Airlines Inc | COM | 848577102 |  | 121419 | 6233 | SH |  | SOLE |  | 6233 | 0 | 0 |
| Snap Inc | COM | 83304A106 |  | 195110 | 21800 | SH |  | SOLE |  | 21800 | 0 | 0 |
| SoFi Technologies Inc | COM | 83406F102 |  | 21206 | 4600 | SH |  | SOLE |  | 4600 | 0 | 0 |
| Tandem Diabetes Care Inc | COM | 875372203 |  | 28319 | 630 | SH |  | SOLE |  | 630 | 0 | 0 |
| Valero Energy Corp | COM | 91913Y100 |  | 2537200 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| Verizon Communications Inc | COM | 92343V104 |  | 2955000 | 75000 | SH |  | SOLE |  | 75000 | 0 | 0 |
| AMERICAN AIRLINES GROUP | COM | 02376R102 |  | 2544000 | 200000 | SH | Put | SOLE |  | 200000 | 0 | 0 |
| AFFIRM HOLDINGS INC | COM | 00827B106 |  | 338450 | 35000 | SH | Put | SOLE |  | 35000 | 0 | 0 |
| ARRAY TECHNOLOGIES INC | COM | 04271T100 |  | 386600 | 20000 | SH | Put | SOLE |  | 20000 | 0 | 0 |
| ARRAY TECHNOLOGIES INC | COM | 04271T100 |  | 386600 | 20000 | SH | Put | SOLE |  | 20000 | 0 | 0 |
| CATERPILLAR INC | COM | 149123101 |  | 958240 | 4000 | SH | Put | SOLE |  | 4000 | 0 | 0 |
| CARNIVAL CORP | COM | 143658300 |  | 806000 | 100000 | SH | Put | SOLE |  | 100000 | 0 | 0 |
| CARNIVAL CORP | COM | 143658300 |  | 1612000 | 200000 | SH | Put | SOLE |  | 200000 | 0 | 0 |
| COMCAST CORP | COM | 20030N101 |  | 1311375 | 37500 | SH | Put | SOLE |  | 37500 | 0 | 0 |
| MARATHON DIGITAL HOLDINGS INC | COM | 565788106 |  | 76950 | 22500 | SH | Put | SOLE |  | 22500 | 0 | 0 |
| OPENDOOR TECHNOLOGIES INC | COM | 683712103 |  | 232000 | 200000 | SH | Put | SOLE |  | 200000 | 0 | 0 |
| TRANSOCEAN INC | COM | H8817H100 |  | 912000 | 200000 | SH | Put | SOLE |  | 200000 | 0 | 0 |
| TRANSOCEAN INC | COM | H8817H100 |  | 456000 | 100000 | SH | Put | SOLE |  | 100000 | 0 | 0 |
| SoFi Technologies Inc | COM | 83406F102 |  | 1383000 | 300000 | SH | Put | SOLE |  | 300000 | 0 | 0 |
| SPDR S 500 ETF | COM | 78462F103 |  | 34418700 | 90000 | SH | Call | SOLE |  | 90000 | 0 | 0 |
| SPDR S 500 ETF | COM | 78462F103 |  | 38243000 | 100000 | SH | Call | SOLE |  | 100000 | 0 | 0 |
| SPDR S 500 ETF | COM | 78462F103 |  | 45891600 | 120000 | SH | Put | SOLE |  | 120000 | 0 | 0 |
| SPDR S 500 ETF | COM | 78462F103 |  | 32697765 | 85500 | SH | Put | SOLE |  | 85500 | 0 | 0 |
| AMERICAN ELECTRIC POWER | CONV PFD | 02557T307 |  | 57040070 | 1093350 | PRN |  | SOLE |  | 982988 | 0 | 110362 |
| AES CORP/THE | CONV PFD | 00130H204 |  | 17222100 | 168201 | PRN |  | SOLE |  | 153638 | 0 | 14563 |
| APTIV PLC | CONV PFD | EP0589507 |  | 21984240 | 204279 | PRN |  | SOLE |  | 174581 | 0 | 29698 |
| ALGONQUIN PWR | CONV PFD | 015857873 |  | 955600 | 40000 | PRN |  | SOLE |  | 40000 | 0 | 0 |
| BANK OF AMERICA CORP | CONV PFD | 060505682 |  | 202665600 | 174336 | PRN |  | SOLE |  | 122273 | 4916 | 47147 |
| BECTON DICKINSON AND CO | CONV PFD | 075887406 |  | 12597170 | 250503 | PRN |  | SOLE |  | 222418 | 0 | 28085 |
| BOSTON SCIENTIFIC CORP | CONV PFD | 101137206 |  | 11504610 | 99951 | PRN |  | SOLE |  | 89952 | 0 | 9999 |
| DANAHER CORP | CONV PFD | 235851409 |  | 29197878 | 21456 | PRN |  | SOLE |  | 19627 | 0 | 1829 |
| CHART INDUSTRIES INC | CONV PFD | 16115Q407 |  | 27535275 | 541500 | PRN |  | SOLE |  | 473629 | 0 | 67871 |
| KKR  CO INC | CONV PFD | 48251W401 |  | 68279369 | 1186281 | PRN |  | SOLE |  | 1067714 | 0 | 118567 |
| NEXTERA ENERGY INC | CONV PFD | 65339F770 |  | 2689170 | 52926 | PRN |  | SOLE |  | 43191 | 0 | 9735 |
| NEXTERA ENERGY INC | CONV PFD | 65339F739 |  | 70453332 | 1402475 | PRN |  | SOLE |  | 1228334 | 0 | 174141 |
| NEXTERA ENERGY INC | CONV PFD | 65339F713 |  | 29371079 | 583744 | PRN |  | SOLE |  | 496685 | 0 | 87059 |
| NISOURCE INC | CONV PFD | 65473P121 |  | 71442679 | 683662 | PRN |  | SOLE |  | 632372 | 0 | 51290 |
| NY COMMUNITY CAP TRUST V | CONV PFD | 64944P307 |  | 8461775 | 191717 | PRN |  | SOLE |  | 139844 | 51873 | 0 |
| PARAMOUNT GLOBAL | CONV PFD | 92556H305 |  | 211317 | 8387 | PRN |  | SOLE |  | 8387 | 0 | 0 |
| WELLS FARGO  COMPANY | CONV PFD | 949746804 |  | 201620105 | 169791 | PRN |  | SOLE |  | 118258 | 5849 | 45684 |
| ARES ACQUISITION CORP-A | COM | G33032122 |  | 2164 | 4640 | SH |  | SOLE |  | 4640 | 0 | 0 |
| 26 CAPITAL ACQUISITION COR-A | COM | 90138P118 |  | 3281 | 11718 | SH |  | SOLE |  | 11718 | 0 | 0 |
| ALLEGO NV | COM | N0796A118 |  | 915 | 9150 | SH |  | SOLE |  | 9150 | 0 | 0 |
| BIGBEAR.AI HOLDINGS INC | COM | 08975B117 |  | 1453 | 47332 | SH |  | SOLE |  | 47332 | 0 | 0 |
| TRITIUM DCFC LTD | COM | Q9225T116 |  | 1777 | 6066 | SH |  | SOLE |  | 6066 | 0 | 0 |
| DHC ACQUISITION CORP-A | COM | G2758T117 |  | 297 | 29666 | SH |  | SOLE |  | 29666 | 0 | 0 |
| GINKGO BIOWORKS HOLDINGS INC | COM | 37611X118 |  | 1848 | 9240 | SH |  | SOLE |  | 9240 | 0 | 0 |
| FATHOM DIGITAL MANUFACTURING | COM | 31189Y111 |  | 264 | 3175 | SH |  | SOLE |  | 3175 | 0 | 0 |
| GRAB HOLDINGS LTD - CL A | COM | G4124C117 |  | 49953 | 92970 | SH |  | SOLE |  | 92970 | 0 | 0 |
| M3-BRIGADE ACQUISITION II-A | COM | 553800111 |  | 1360 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| PAGAYA TECHNOLOGIES LTD -A | COM | M7S64L107 |  | 7118 | 75000 | SH |  | SOLE |  | 75000 | 0 | 0 |

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