Form 13F-HR CLOUGH CAPITAL PARTNERS For: Mar 31
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F
FORM 13F COVER PAGE
|
OMB APPROVAL |
OMB Number: |
3235-0006 |
Expires: |
July 31, 2015 |
Estimated average burden |
hours per response: |
23.8 |
|
|
Report for the Calendar Year or Quarter Ended: |
03-31-2022 |
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: |
Clough Capital Partners L P |
Address: |
53 State Street |
|
27th Floor |
|
|
|
Boston
,
MA02109
|
Form 13F File Number: |
028-10679 |
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: |
Daniel Gillis |
Title: |
Chief Compliance Officer |
Phone: |
617-204-3409 |
Signature, Place, and Date of Signing: |
/s/ Daniel Gillis |
Quincy
,
MA
|
05-16-2022 |
[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 reported are 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: |
1 |
|
|
|
Form 13F Information Table Entry Total: |
114 |
|
Form 13F Information Table Value Total: |
1,317,893 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
028-12502 |
Charles I. Clough, Jr. |
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. |
Form 13F File Number |
Name |
|
1 |
028-12502 |
Charles I. Clough, Jr. |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 FORM 13F
FORM 13F INFORMATION TABLE
|
OMB APPROVAL |
OMB Number: |
3235-0006 |
Expires: |
July 31, 2015 |
Estimated average
burden |
hours per response:
|
23.8 |
|
|
COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
ABBOTT LABS |
COM |
002824100 |
5,445 |
46,000 |
SH |
|
DFND |
1 |
46,000 |
0 |
0 |
ACADIA HEALTHCARE COMPANY IN |
COM |
00404A109 |
10,768 |
164,320 |
SH |
|
DFND |
1 |
164,320 |
0 |
0 |
ALIGN TECHNOLOGY INC |
COM |
016255101 |
10,344 |
23,725 |
SH |
|
DFND |
1 |
23,725 |
0 |
0 |
ALPHABET INC |
CAP STK CL C |
02079K107 |
17,208 |
6,161 |
SH |
|
DFND |
1 |
6,161 |
0 |
0 |
AMAZON COM INC |
COM |
023135106 |
48,374 |
14,839 |
SH |
|
DFND |
1 |
14,839 |
0 |
0 |
APELLIS PHARMACEUTICALS INC |
COM |
03753U106 |
7,236 |
142,409 |
SH |
|
DFND |
1 |
142,409 |
0 |
0 |
APPLE INC |
COM |
037833100 |
29,832 |
170,850 |
SH |
|
DFND |
1 |
170,850 |
0 |
0 |
ARCELLX INC |
COMMON STOCK |
03940C100 |
16,619 |
1,209,876 |
SH |
|
DFND |
1 |
1,209,876 |
0 |
0 |
ARVINAS INC |
COM |
04335A105 |
15,432 |
229,300 |
SH |
|
DFND |
1 |
229,300 |
0 |
0 |
BARINGS BDC INC |
COM |
06759L103 |
4,589 |
443,826 |
SH |
|
DFND |
1 |
443,826 |
0 |
0 |
BLACKROCK ENERGY & RES TR |
COM |
09250U101 |
444 |
38,300 |
SH |
|
DFND |
1 |
38,300 |
0 |
0 |
BLACKROCK INNOVATION AND GRW |
SHS BEN INT |
09260Q108 |
2,330 |
204,582 |
SH |
|
DFND |
1 |
204,582 |
0 |
0 |
BLACKROCK MUNIHLDS INVSTM QL |
COM |
09254P108 |
567 |
46,233 |
SH |
|
DFND |
1 |
46,233 |
0 |
0 |
BLACKSTONE SECD LENDING FD |
COMMON STOCK |
09261X102 |
2,699 |
96,800 |
SH |
|
DFND |
1 |
96,800 |
0 |
0 |
BLOCK INC |
CL A |
852234103 |
26,807 |
197,690 |
SH |
|
DFND |
1 |
197,690 |
0 |
0 |
BOEING CO |
COM |
097023105 |
22,511 |
117,550 |
SH |
|
DFND |
1 |
117,550 |
0 |
0 |
BOSTON SCIENTIFIC CORP |
COM |
101137107 |
3,906 |
88,200 |
SH |
|
DFND |
1 |
88,200 |
0 |
0 |
BRANDYWINEGBL GBL INCM OPP F |
COM |
10537L104 |
1,878 |
185,580 |
SH |
|
DFND |
1 |
185,580 |
0 |
0 |
C4 THERAPEUTICS INC |
COM STK |
12529R107 |
8,641 |
356,181 |
SH |
|
DFND |
1 |
356,181 |
0 |
0 |
CARNIVAL CORP |
COMMON STOCK |
143658300 |
25,517 |
1,261,970 |
SH |
|
DFND |
1 |
1,261,970 |
0 |
0 |
CBRE GBL REAL ESTATE INC FD |
COM |
12504G100 |
267 |
29,500 |
SH |
|
DFND |
1 |
29,500 |
0 |
0 |
CENTER COAST BRKFLD MLP ENRG |
SHS BEN INT |
151461209 |
2,116 |
121,447 |
SH |
|
DFND |
1 |
121,447 |
0 |
0 |
CHECKMATE PHARMACEUTICALS IN |
COM |
162818108 |
3,629 |
1,137,764 |
SH |
|
DFND |
1 |
1,137,764 |
0 |
0 |
CHENIERE ENERGY INC |
COM NEW |
16411R208 |
20,118 |
145,100 |
SH |
|
DFND |
1 |
145,100 |
0 |
0 |
CISCO SYS INC |
COM |
17275R102 |
3,552 |
63,700 |
SH |
|
DFND |
1 |
63,700 |
0 |
0 |
CLEARBRIDGE ENERGY MIDSTRM O |
COM |
18469P209 |
437 |
15,500 |
SH |
|
DFND |
1 |
15,500 |
0 |
0 |
CLEARBRIDGE MLP AND MIDSTRM |
COM |
184692200 |
432 |
12,800 |
SH |
|
DFND |
1 |
12,800 |
0 |
0 |
CLEARBRIDGE MLP AND MIDSTRM |
COM |
18469Q207 |
429 |
14,700 |
SH |
|
DFND |
1 |
14,700 |
0 |
0 |
COMMUNITY HEALTH SYS INC NEW |
COM |
203668108 |
16,264 |
1,370,159 |
SH |
|
DFND |
1 |
1,370,159 |
0 |
0 |
CRISPR THERAPEUTICS AG |
NAMEN AKT |
H17182108 |
12,937 |
206,107 |
SH |
|
DFND |
1 |
206,107 |
0 |
0 |
CUSHING MLP & INFRASTRUCT |
COM NEW |
231631300 |
1,294 |
37,100 |
SH |
|
DFND |
1 |
37,100 |
0 |
0 |
D R HORTON INC |
COM |
23331A109 |
18,054 |
242,300 |
SH |
|
DFND |
1 |
242,300 |
0 |
0 |
DELAWARE INVTS NATL MUN INCO |
SH BEN INT |
24610T108 |
1,825 |
144,247 |
SH |
|
DFND |
1 |
144,247 |
0 |
0 |
DELAWARE IVY HIGH INCOME OPP |
COM |
246107106 |
471 |
37,200 |
SH |
|
DFND |
1 |
37,200 |
0 |
0 |
DEXCOM INC |
COM |
252131107 |
2,098 |
4,100 |
SH |
|
DFND |
1 |
4,100 |
0 |
0 |
DOXIMITY INC |
CL A |
26622P107 |
11,674 |
224,110 |
SH |
|
DFND |
1 |
224,110 |
0 |
0 |
EATON VANCE TAX ADVT DIV INC |
COM |
27828G107 |
275 |
9,500 |
SH |
|
DFND |
1 |
9,500 |
0 |
0 |
EATON VANCE TX ADV GLBL DIV |
COM |
27828S101 |
202 |
9,806 |
SH |
|
DFND |
1 |
9,806 |
0 |
0 |
EQUITABLE HLDGS INC |
COM |
29452E101 |
25,898 |
837,840 |
SH |
|
DFND |
1 |
837,840 |
0 |
0 |
EXXON MOBIL CORP |
COM |
30231G102 |
28,948 |
350,500 |
SH |
|
DFND |
1 |
350,500 |
0 |
0 |
FIRST AMERN FINL CORP |
COM |
31847R102 |
46,985 |
724,846 |
SH |
|
DFND |
1 |
724,846 |
0 |
0 |
FRANKLIN LTD DURATION INCOME |
COM |
35472T101 |
3,435 |
453,195 |
SH |
|
DFND |
1 |
453,195 |
0 |
0 |
GABELLI UTIL TR |
RIGHT 04/19/2022 |
36240A176 |
46 |
234,709 |
SH |
|
DFND |
1 |
234,709 |
0 |
0 |
GODADDY INC |
CL A |
380237107 |
18,657 |
222,900 |
SH |
|
DFND |
1 |
222,900 |
0 |
0 |
GOSSAMER BIO INC |
NOTE 5.000% 6/0 |
38341PAA0 |
2,850 |
3,500,000 |
PRN |
|
DFND |
1 |
3,500,000 |
0 |
0 |
GUGGENHEIM STRATEGIC OPPORTU |
COM SBI |
40167F101 |
1,531 |
80,512 |
SH |
|
DFND |
1 |
80,512 |
0 |
0 |
HCA HEALTHCARE INC |
COM |
40412C101 |
7,874 |
31,420 |
SH |
|
DFND |
1 |
31,420 |
0 |
0 |
HERTZ GLOBAL HLDGS INC |
COM NEW |
42806J700 |
4,441 |
200,500 |
SH |
|
DFND |
1 |
200,500 |
0 |
0 |
HERTZ GLOBAL HLDGS INC |
W EXP 06/30/205 |
42806J148 |
12,179 |
793,400 |
SH |
|
DFND |
1 |
793,400 |
0 |
0 |
HERZFELD CARIBBEAN BASIN FD |
COM |
42804T106 |
182 |
34,212 |
SH |
|
DFND |
1 |
34,212 |
0 |
0 |
HIGHLAND GLOBAL ALLOCATION F |
COM |
43010T104 |
1,142 |
115,908 |
SH |
|
DFND |
1 |
115,908 |
0 |
0 |
HOLOGIC INC |
COM |
436440101 |
13,384 |
174,220 |
SH |
|
DFND |
1 |
174,220 |
0 |
0 |
INTUITIVE SURGICAL INC |
COM NEW |
46120E602 |
8,329 |
27,610 |
SH |
|
DFND |
1 |
27,610 |
0 |
0 |
INVESCO QQQ TR |
UNIT SER 1 |
46090E103 |
7,251 |
20,000 |
SH |
Put |
DFND |
1 |
20,000 |
0 |
0 |
IRHYTHM TECHNOLOGIES INC |
COM |
450056106 |
4,204 |
26,695 |
SH |
|
DFND |
1 |
26,695 |
0 |
0 |
JAZZ PHARMACEUTICALS PLC |
SHS USD |
G50871105 |
10,338 |
66,410 |
SH |
|
DFND |
1 |
66,410 |
0 |
0 |
JOHNSON & JOHNSON |
COM |
478160104 |
19,726 |
111,300 |
SH |
|
DFND |
1 |
111,300 |
0 |
0 |
KINDER MORGAN INC DEL |
COM |
49456B101 |
30,311 |
1,602,892 |
SH |
|
DFND |
1 |
1,602,892 |
0 |
0 |
KYMERA THERAPEUTICS INC |
COM |
501575104 |
7,859 |
185,700 |
SH |
|
DFND |
1 |
185,700 |
0 |
0 |
LAM RESEARCH CORP |
COM |
512807108 |
15,982 |
29,728 |
SH |
|
DFND |
1 |
29,728 |
0 |
0 |
LEGEND BIOTECH CORP |
SPONSORED ADS |
52490G102 |
4,713 |
129,691 |
SH |
|
DFND |
1 |
129,691 |
0 |
0 |
LENNAR CORP |
CL A |
526057104 |
13,925 |
171,549 |
SH |
|
DFND |
1 |
171,549 |
0 |
0 |
LILLY ELI & CO |
COM |
532457108 |
3,440 |
12,013 |
SH |
|
DFND |
1 |
12,013 |
0 |
0 |
LOCKHEED MARTIN CORP |
COM |
539830109 |
10,382 |
23,520 |
SH |
|
DFND |
1 |
23,520 |
0 |
0 |
LUMENTUM HLDGS INC |
COM |
55024U109 |
8,755 |
89,700 |
SH |
|
DFND |
1 |
89,700 |
0 |
0 |
LYFT INC |
CL A COM |
55087P104 |
3,206 |
83,500 |
SH |
|
DFND |
1 |
83,500 |
0 |
0 |
MCKESSON CORP |
COM |
58155Q103 |
3,438 |
11,232 |
SH |
|
DFND |
1 |
11,232 |
0 |
0 |
MERCK & CO INC |
COM |
58933Y105 |
18,076 |
220,300 |
SH |
|
DFND |
1 |
220,300 |
0 |
0 |
MICRON TECHNOLOGY INC |
COM |
595112103 |
14,965 |
192,124 |
SH |
|
DFND |
1 |
192,124 |
0 |
0 |
MICROSOFT CORP |
COM |
594918104 |
69,788 |
226,357 |
SH |
|
DFND |
1 |
226,357 |
0 |
0 |
MILLER HOWARD HIGH INC EQTY |
COM SHS BEN IN |
600379101 |
4,538 |
406,604 |
SH |
|
DFND |
1 |
406,604 |
0 |
0 |
MIRATI THERAPEUTICS INC |
COM |
60468T105 |
4,350 |
52,902 |
SH |
|
DFND |
1 |
52,902 |
0 |
0 |
NORTHROP GRUMMAN CORP |
COM |
666807102 |
21,028 |
47,020 |
SH |
|
DFND |
1 |
47,020 |
0 |
0 |
NUVEEN CORE EQUITY ALPHA FD |
COM |
67090X107 |
1,782 |
101,601 |
SH |
|
DFND |
1 |
101,601 |
0 |
0 |
NVIDIA CORPORATION |
COM |
67066G104 |
31,753 |
116,370 |
SH |
|
DFND |
1 |
116,370 |
0 |
0 |
PALO ALTO NETWORKS INC |
COM |
697435105 |
27,225 |
43,735 |
SH |
|
DFND |
1 |
43,735 |
0 |
0 |
PARAMOUNT GLOBAL |
CLASS B COM |
92556H206 |
17,805 |
470,900 |
SH |
|
DFND |
1 |
470,900 |
0 |
0 |
PFIZER INC |
COM |
717081103 |
24,177 |
467,000 |
SH |
|
DFND |
1 |
467,000 |
0 |
0 |
PIMCO GLOBAL STOCKSPLS INCM |
COM |
722011103 |
726 |
76,200 |
SH |
|
DFND |
1 |
76,200 |
0 |
0 |
RAYTHEON TECHNOLOGIES CORP |
COM |
75513E101 |
45,324 |
457,490 |
SH |
|
DFND |
1 |
457,490 |
0 |
0 |
REDWOOD TR INC |
COM |
758075402 |
15,705 |
1,491,500 |
SH |
|
DFND |
1 |
1,491,500 |
0 |
0 |
REDWOOD TRUST INC |
NOTE 4.750% 8/1 |
758075AC9 |
1,998 |
1,978,000 |
PRN |
|
DFND |
1 |
1,978,000 |
0 |
0 |
RIVERNORTH FLEXIBLE MUNI INC |
COM |
76883Y107 |
372 |
22,689 |
SH |
|
DFND |
1 |
22,689 |
0 |
0 |
ROYAL CARIBBEAN GROUP |
COM |
V7780T103 |
27,400 |
327,047 |
SH |
|
DFND |
1 |
327,047 |
0 |
0 |
SABA CAPITAL INCOME & OPRNT |
SHARES |
78518H103 |
4,069 |
900,130 |
SH |
|
DFND |
1 |
900,130 |
0 |
0 |
SALIENT MIDSTREAM & MLP FD |
SH BEN INT |
79471V105 |
1,095 |
132,832 |
SH |
|
DFND |
1 |
132,832 |
0 |
0 |
SERVICENOW INC |
COM |
81762P102 |
8,860 |
15,910 |
SH |
|
DFND |
1 |
15,910 |
0 |
0 |
SPDR SER TR |
AEROSPACE DEF |
78464A631 |
20,302 |
162,830 |
SH |
|
DFND |
1 |
162,830 |
0 |
0 |
SPECIAL OPPORTUNITIES FD INC |
COM |
84741T104 |
845 |
56,300 |
SH |
|
DFND |
1 |
56,300 |
0 |
0 |
STARWOOD PPTY TR INC |
COM |
85571B105 |
49,660 |
2,054,600 |
SH |
|
DFND |
1 |
2,054,600 |
0 |
0 |
STARWOOD PPTY TR INC |
NOTE 4.375% 4/0 |
85571BAH8 |
11,092 |
10,815,000 |
PRN |
|
DFND |
1 |
10,815,000 |
0 |
0 |
STRYKER CORPORATION |
COM |
863667101 |
6,684 |
25,000 |
SH |
|
DFND |
1 |
25,000 |
0 |
0 |
SURGERY PARTNERS INC |
COM |
86881A100 |
16,448 |
298,781 |
SH |
|
DFND |
1 |
298,781 |
0 |
0 |
TELADOC HEALTH INC |
NOTE 1.250% 6/0 |
87918AAF2 |
1,271 |
1,500,000 |
PRN |
|
DFND |
1 |
1,500,000 |
0 |
0 |
TENET HEALTHCARE CORP |
COM NEW |
88033G407 |
11,905 |
138,500 |
SH |
|
DFND |
1 |
138,500 |
0 |
0 |
TESLA INC |
COM |
88160R101 |
24,237 |
22,492 |
SH |
|
DFND |
1 |
22,492 |
0 |
0 |
THERMO FISHER SCIENTIFIC INC |
COM |
883556102 |
5,414 |
9,167 |
SH |
|
DFND |
1 |
9,167 |
0 |
0 |
TORTOISE ENERGY INDEPENDENC |
COM |
89148K200 |
481 |
16,205 |
SH |
|
DFND |
1 |
16,205 |
0 |
0 |
TORTOISE ENERGY INFRA CORP |
COM |
89147L886 |
508 |
14,700 |
SH |
|
DFND |
1 |
14,700 |
0 |
0 |
TORTOISE MIDSTRM ENERGY FD I |
COM |
89148B200 |
2,960 |
77,968 |
SH |
|
DFND |
1 |
77,968 |
0 |
0 |
TORTOISE PIPELINE & ENERGY F |
COM |
89148H207 |
365 |
12,441 |
SH |
|
DFND |
1 |
12,441 |
0 |
0 |
TORTOISE PWR & ENERGY INFRAS |
COM |
89147X104 |
399 |
28,021 |
SH |
|
DFND |
1 |
28,021 |
0 |
0 |
TRANSDIGM GROUP INC |
COM |
893641100 |
18,773 |
28,814 |
SH |
|
DFND |
1 |
28,814 |
0 |
0 |
UNITEDHEALTH GROUP INC |
COM |
91324P102 |
20,078 |
39,370 |
SH |
|
DFND |
1 |
39,370 |
0 |
0 |
VANECK ETF TRUST |
PHARMACEUTCL ETF |
92189F692 |
2,768 |
34,700 |
SH |
|
DFND |
1 |
34,700 |
0 |
0 |
VANECK ETF TRUST |
OIL SERVICES ETF |
92189H607 |
27,269 |
96,510 |
SH |
|
DFND |
1 |
96,510 |
0 |
0 |
VERACYTE INC |
COM |
92337F107 |
4,071 |
147,670 |
SH |
|
DFND |
1 |
147,670 |
0 |
0 |
VERTEX PHARMACEUTICALS INC |
COM |
92532F100 |
15,175 |
58,150 |
SH |
|
DFND |
1 |
58,150 |
0 |
0 |
VISA INC |
COM CL A |
92826C839 |
30,751 |
138,660 |
SH |
|
DFND |
1 |
138,660 |
0 |
0 |
WALKER & DUNLOP INC |
COM |
93148P102 |
8,414 |
65,010 |
SH |
|
DFND |
1 |
65,010 |
0 |
0 |
WESTERN ASSET EMERGING MKTS |
COM |
95766A101 |
450 |
41,900 |
SH |
|
DFND |
1 |
41,900 |
0 |
0 |
WESTERN AST INFL LKD OPP & I |
COM |
95766R104 |
766 |
63,800 |
SH |
|
DFND |
1 |
63,800 |
0 |
0 |
ZIMMER BIOMET HOLDINGS INC |
COM |
98956P102 |
12,033 |
94,080 |
SH |
|
DFND |
1 |
94,080 |
0 |
0 |
ZOETIS INC |
CL A |
98978V103 |
7,106 |
37,681 |
SH |
|
DFND |
1 |
37,681 |
0 |
0 |