D. E. Shaw & Co., Inc.

New York, NY · CIK 1009207 · 13F filing filed 2023-08-14

No investment adviser registration (Form ADV) found for this filer. It may be a parent company whose subsidiaries are the registered advisers, a bank or insurer, or a manager based outside the US.

Others nearbyNew York, NY

$64.1bn reported value +3.3% vs Q1 2023

3,065positions

17.0%in top 10

300 new 1,073 added 1,240 reduced 516 sold out vs Q1 2023

Options: 589 call positions ($16.0bn notional), 548 put positions ($17.8bn notional) – listed below, not included above.

This report includes the holdings of 4 other managers that share the investment decisions:

D. E. SHAW & CO, L.P. – reports through this filing
D. E. Shaw Adviser II, L.L.C. – reports through this filing
D. E. Shaw Heliant Adviser, L.L.C. – reports through this filing
D. E. Shaw Investment Management, L.L.C. – reports through this filing

Shares in two reports are counted once in each security's totals.

Holdings, Q2 2023

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	MICROSOFT CORP COM MSFT	MSFT	6,317,612	$2.2bn3.35%	3.35%	Added +1.5m	+1,537,501 32.2%
2	NVIDIA CORPORATION COM NVDA	NVDA	4,303,136	$1.8bn2.84%	2.84%	Added +3.0m	+3,004,061 231.2%
3	APPLE INC COM AAPL	AAPL	8,890,541	$1.7bn2.69%	2.69%	Reduced -2.5m	-2,496,775 -21.9%
4	TESLA INC COM TSLA	TSLA	4,715,844	$1.2bn1.92%	1.92%	Reduced -1.5m	-1,528,689 -24.5%
5	META PLATFORMS INC CL A META	META	3,147,087	$903.2m1.41%	1.41%	Added +2.5m	+2,536,998 415.8%
6	WALMART INC COM WMT	WMT	5,483,928	$862.0m1.34%	1.34%	Added +669.8k	+669,757 13.9%
7	BOOKING HOLDINGS INC COM BKNG	BKNG	278,771	$752.8m1.17%	1.17%	Added +19.2k	+19,245 7.4%
8	T-MOBILE US INC COM TMUS	TMUS	3,680,374	$511.2m0.80%	0.80%	Added +3.0m	+2,961,677 412.1%
9	UBER TECHNOLOGIES INC COM UBER	UBER	11,375,799	$491.1m0.77%	0.77%	Added +9.4m	+9,404,077 476.9%
10	PALANTIR TECHNOLOGIES INC CL A PLTR	PLTR	29,648,714	$454.5m0.71%	0.71%	Added +17.8m	+17,791,526 150.1%
11	AUTOMATIC DATA PROCESSING IN COM ADP	ADP	1,984,436	$436.2m0.68%	0.68%	Added +23.5k	+23,548 1.2%
12	AMAZON COM INC COM AMZN	AMZN	3,303,811	$430.7m0.67%	0.67%	Reduced -1.0m	-1,025,982 -23.7%
13	UNITEDHEALTH GROUP INC COM UNH	UNH	884,503	$425.1m0.66%	0.66%	Added +413.2k	+413,202 87.7%
14	SOLAREDGE TECHNOLOGIES INC COM SEDG	SEDG	1,504,000	$404.7m0.63%	0.63%	Added +608.3k	+608,291 67.9%
15	ROYAL CARIBBEAN GROUP COM RCL	RCL	3,810,882	$395.3m0.62%	0.62%	Added +2.1m	+2,094,081 122.0%
16	HORIZON THERAPEUTICS PUB L SHS HZNP	HZNP	3,682,380	$378.7m0.59%	0.59%	Added +1.5m	+1,457,042 65.5%
17	VERISK ANALYTICS INC COM VRSK	VRSK	1,627,897	$368.0m0.57%	0.57%	Added +456.9k	+456,859 39.0%
18	ELI LILLY & CO COM LLY	LLY	767,819	$360.1m0.56%	0.56%	Added +512.1k	+512,076 200.2%
19	VISA INC COM CL A V	V	1,457,004	$346.0m0.54%	0.54%	Reduced -2.4m	-2,388,526 -62.1%
20	AMERICAN EXPRESS CO COM AXP	AXP	1,944,045	$338.7m0.53%	0.53%	Reduced -610.5k	-610,476 -23.9%
21	SHERWIN WILLIAMS CO COM SHW	SHW	1,264,445	$335.7m0.52%	0.52%	Added +648.8k	+648,821 105.4%
22	DEXCOM INC NOTE 0.750%12/0 DXCM 0.75 12.01.23	DXCM 0.75 12.01.23	107,304,000	$334.6m0.52%	0.52%	New
23	LULULEMON ATHLETICA INC COM LULU	LULU	876,968	$331.9m0.52%	0.52%	Added +50.9k	+50,898 6.2%
24	PROCTER AND GAMBLE CO COM PG	PG	2,155,531	$327.1m0.51%	0.51%	Added +371.2k	+371,213 20.8%
25	NETFLIX INC COM NFLX	NFLX	741,447	$326.6m0.51%	0.51%	Added +573.9k	+573,878 342.5%
26	PALO ALTO NETWORKS INC COM PANW	PANW	1,238,985	$316.6m0.49%	0.49%	Reduced -777.9k	-777,887 -38.6%
27	BANK AMERICA CORP COM BAC	BAC	10,870,299	$311.9m0.49%	0.49%	Added +5.4m	+5,408,441 99.0%
28	HOME DEPOT INC COM HD	HD	1,000,172	$310.7m0.48%	0.48%	Added +885.8k	+885,820 774.6%
29	SNAP INC CL A SNAP	SNAP	26,116,475	$309.2m0.48%	0.48%	Added +75.3k	+75,254 0.3%
30	ALPHABET INC CAP STK CL A GOOGL	GOOGL	2,517,712	$301.4m0.47%	0.47%	Reduced -109.6k	-109,600 -4.2%
31	ACTIVISION BLIZZARD INC COM ATVI	ATVI	3,525,882	$297.2m0.46%	0.46%	Added +858.8k	+858,833 32.2%
32	CHEVRON CORP NEW COM CVX	CVX	1,867,545	$293.9m0.46%	0.46%	Added +288.5k	+288,534 18.3%
33	NU HLDGS LTD ORD SHS CL A NU	NU	37,199,466	$293.5m0.46%	0.46%	Added +33.0m	+32,990,968 783.9%
34	PAYPAL HLDGS INC COM PYPL	PYPL	4,380,352	$292.3m0.46%	0.46%	Reduced -1.2m	-1,229,719 -21.9%
35	LOCKHEED MARTIN CORP COM LMT	LMT	632,894	$291.4m0.45%	0.45%	Added +111.5k	+111,511 21.4%
36	DEERE & CO COM DE	DE	680,326	$275.7m0.43%	0.43%	Added +559.1k	+559,094 461.2%
37	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	579,312	$256.8m0.40%	0.40%	Reduced -315.5k	-315,458 -35.3%
38	AMERICAN TOWER CORP NEW COM AMT	AMT	1,310,354	$254.1m0.40%	0.40%	Added +441.1k	+441,116 50.8%
39	MCDONALDS CORP COM MCD	MCD	842,884	$251.5m0.39%	0.39%	Added +373.8k	+373,797 79.7%
40	TJX COS INC NEW COM TJX	TJX	2,909,746	$246.7m0.38%	0.38%	Reduced -1.0m	-1,019,787 -25.9%
41	CHIPOTLE MEXICAN GRILL INC COM CMG	CMG	113,355	$242.5m0.38%	0.38%	Added +65.9k	+65,902 138.9%
42	BIOGEN INC COM BIIB	BIIB	846,444	$241.1m0.38%	0.38%	Reduced -487.5k	-487,546 -36.5%
43	LPL FINL HLDGS INC COM LPLA	LPLA	1,101,579	$239.5m0.37%	0.37%	Added +48.2k	+48,181 4.6%
44	PFIZER INC COM PFE	PFE	6,477,333	$237.6m0.37%	0.37%	Reduced -1.1m	-1,141,180 -15.0%
45	TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS TSM	TSM	2,349,743	$237.1m0.37%	0.37%	Added +1.4m	+1,378,286 141.9%
46	EMERSON ELEC CO COM EMR	EMR	2,599,282	$234.9m0.37%	0.37%	Added +699.2k	+699,186 36.8%
47	EQT CORP NOTE 1.750% 5/0 · principal EQT 1.75 05.01.26 · principal	EQT 1.75 05.01.26	82,929,000	$234.0m0.36%	0.36%	Unchanged
48	ISHARES TR IBOXX INV CP ETF LQD	LQD	2,154,428	$233.0m0.36%	0.36%	Reduced -1.9m	-1,881,764 -46.6%
49	AT&T INC COM T	T	14,154,084	$225.8m0.35%	0.35%	Added +4.1m	+4,095,697 40.7%
50	ABBVIE INC COM ABBV	ABBV	1,663,648	$224.1m0.35%	0.35%	Added +1.5m	+1,532,290 1166.5%
51	AMERICAN AIRLS GROUP INC COM AAL	AAL	12,241,599	$219.6m0.34%	0.34%	Reduced -787.4k	-787,399 -6.0%
52	FORTINET INC COM FTNT	FTNT	2,898,186	$219.1m0.34%	0.34%	Reduced -60.2k	-60,154 -2.0%
53	MONGODB INC NOTE 0.250% 1/1 · principal MDB 0.25 01.15.26 · principal	MDB 0.25 01.15.26	109,904,000	$219.0m0.34%	0.34%	Added +4.5m	+4,500,000 4.3%
54	QUALCOMM INC COM QCOM	QCOM	1,827,249	$217.5m0.34%	0.34%	Added +366.7k	+366,678 25.1%
55	ORACLE CORP COM ORCL	ORCL	1,825,762	$217.4m0.34%	0.34%	New
56	CHENIERE ENERGY INC COM NEW LNG	LNG	1,424,233	$217.0m0.34%	0.34%	Added +555.4k	+555,396 63.9%
57	DANAHER CORPORATION COM DHR	DHR	891,574	$214.0m0.33%	0.33%	Added +313.8k	+313,798 54.3%
58	REGENERON PHARMACEUTICALS COM REGN	REGN	287,779	$206.8m0.32%	0.32%	Added +136.4k	+136,446 90.2%
59	ON SEMICONDUCTOR CORP COM ON	ON	2,163,283	$204.6m0.32%	0.32%	Reduced -561.5k	-561,528 -20.6%
60	MCKESSON CORP COM MCK	MCK	476,911	$203.8m0.32%	0.32%	Added +253.5k	+253,523 113.5%
61	AERCAP HOLDINGS NV SHS AER	AER	3,182,146	$202.1m0.32%	0.32%	Reduced -294.2k	-294,230 -8.5%
62	CHECK POINT SOFTWARE TECH LT ORD CHKP	CHKP	1,589,890	$199.7m0.31%	0.31%	Added +126.6k	+126,622 8.7%
63	TEXAS INSTRS INC COM TXN	TXN	1,087,311	$195.7m0.31%	0.31%	Added +197.8k	+197,824 22.2%
64	JOHNSON & JOHNSON COM JNJ	JNJ	1,178,678	$195.1m0.30%	0.30%	Reduced -2.7m	-2,748,548 -70.0%
65	CARNIVAL CORP NOTE 5.750%10/0 · principal CCL 5.75 10.01.24 · principal	CCL 5.75 10.01.24	97,533,000	$193.3m0.30%	0.30%	Added +8.5m	+8,500,000 9.6%
66	COCA COLA CO COM KO	KO	3,114,495	$187.6m0.29%	0.29%	Reduced -724.4k	-724,378 -18.9%
67	DRAFTKINGS INC NEW COM CL A DKNG	DKNG	6,861,986	$182.3m0.28%	0.28%	Added +2.6m	+2,609,588 61.4%
68	GOLDMAN SACHS GROUP INC COM GS	GS	559,122	$180.3m0.28%	0.28%	Added +427.7k	+427,692 325.4%
69	COSTCO WHSL CORP NEW COM COST	COST	333,640	$179.6m0.28%	0.28%	Reduced -253.0k	-253,010 -43.1%
70	SOUTHWESTERN ENERGY CO COM SWN	SWN	29,471,623	$177.1m0.28%	0.28%	Reduced -1.7m	-1,653,579 -5.3%
71	SELECT SECTOR SPDR TR SBI CONS STPLS XLP	XLP	2,348,700	$174.2m0.27%	0.27%	Added +1.7m	+1,748,700 291.4%
72	AMGEN INC COM AMGN	AMGN	780,563	$173.3m0.27%	0.27%	Added +462.3k	+462,329 145.3%
73	CME GROUP INC COM CME	CME	930,071	$172.3m0.27%	0.27%	Reduced -315.8k	-315,765 -25.4%
74	LIBERTY MEDIA CORP DEL COM C SIRIUSXM LSXMK	LSXMK	5,232,995	$171.3m0.27%	0.27%	Reduced -537.3k	-537,305 -9.3%
75	DOLLAR TREE INC COM DLTR	DLTR	1,176,546	$168.8m0.26%	0.26%	Added +1.1m	+1,139,846 3105.8%
76	MONGODB INC CL A MDB	MDB	407,892	$167.6m0.26%	0.26%	Added +404.2k	+404,197 10939.0%
77	SCHWAB CHARLES CORP COM SCHW	SCHW	2,906,261	$164.7m0.26%	0.26%	Reduced -9.4m	-9,364,642 -76.3%
78	ADVANCED MICRO DEVICES INC COM AMD	AMD	1,444,390	$164.5m0.26%	0.26%	Added +1.1m	+1,132,316 362.8%
79	PEPSICO INC COM PEP	PEP	872,054	$161.5m0.25%	0.25%	Added +142.4k	+142,371 19.5%
80	WAYFAIR INC CL A W	W	2,478,782	$161.1m0.25%	0.25%	Added +2.2m	+2,238,743 932.7%
81	TRANSOCEAN LTD REGISTERED SHS RIG	RIG	22,982,340	$161.1m0.25%	0.25%	Reduced -2.8m	-2,752,191 -10.7%
82	MONDELEZ INTL INC CL A MDLZ	MDLZ	2,178,026	$158.9m0.25%	0.25%	Added +874.2k	+874,155 67.0%
83	MERCADOLIBRE INC NOTE 2.000% 8/1 · principal MELI 2 08.15.28 · principal	MELI 2 08.15.28	57,917,000	$158.7m0.25%	0.25%	Added +500.0k	+500,000 0.9%
84	GILEAD SCIENCES INC COM GILD	GILD	2,050,127	$158.0m0.25%	0.25%	Added +212.1k	+212,149 11.5%
85	AUTODESK INC COM ADSK	ADSK	769,179	$157.4m0.25%	0.25%	Added +264.4k	+264,359 52.4%
86	CARNIVAL CORP UNIT 99/99/9999 UNIT 99/99/9999		8,248,868	$155.3m0.24%	0.24%	New
87	JOHNSON CTLS INTL PLC SHS JCI	JCI	2,245,276	$153.0m0.24%	0.24%	Added +325.3k	+325,328 16.9%
88	MERCK & CO INC COM MRK	MRK	1,313,409	$151.6m0.24%	0.24%	Reduced -810.1k	-810,055 -38.1%
89	ROKU INC COM CL A ROKU	ROKU	2,356,865	$150.7m0.24%	0.24%	Reduced -1.0m	-1,000,201 -29.8%
90	CHART INDS INC NOTE 1.000%11/1 · principal GTLS 1 11.15.24 · principal	GTLS 1 11.15.24	54,697,000	$150.2m0.23%	0.23%	Added +1.2m	+1,230,000 2.3%
91	ZSCALER INC COM ZS	ZS	1,025,574	$150.0m0.23%	0.23%	Added +761.6k	+761,637 288.6%
92	FORD MTR CO COM F	F	9,829,669	$148.7m0.23%	0.23%	Added +454.6k	+454,561 4.8%
93	RANGE RES CORP COM RRC	RRC	4,837,622	$142.2m0.22%	0.22%	Added +146.6k	+146,604 3.1%
94	DOCUSIGN INC COM DOCU	DOCU	2,781,609	$142.1m0.22%	0.22%	Added +789.0k	+788,993 39.6%
95	THERMO FISHER SCIENTIFIC INC COM TMO	TMO	269,918	$140.8m0.22%	0.22%	Added +225.2k	+225,195 503.5%
96	EXXON MOBIL CORP COM XOM	XOM	1,302,229	$139.7m0.22%	0.22%	Reduced -85.1k	-85,096 -6.1%
97	THE TRADE DESK INC COM CL A TTD	TTD	1,790,685	$138.3m0.22%	0.22%	Reduced -940.0k	-940,046 -34.4%
98	VMWARE INC CL A COM VMW	VMW	961,819	$138.2m0.22%	0.22%	Added +551.4k	+551,437 134.4%
99	INSPIRE MED SYS INC COM INSP	INSP	419,333	$136.1m0.21%	0.21%	Added +201.9k	+201,915 92.9%
100	ELEVANCE HEALTH INC COM ELV	ELV	304,758	$135.4m0.21%	0.21%	Added +117.5k	+117,491 62.7%

Sold out since Q1 2023

Security	Ticker	Shares held before	Value then
PALO ALTO NETWORKS INC PANW 0.75 07.01.23	PANW 0.75 07.01.23	181,900,000	$407.9m181.9m shares
DEXCOM INC DXCM 0.75 12.01.23	DXCM 0.75 12.01.23	97,404,000	$275.6m97.4m shares
SHAW COMMUNICATIONS INC		5,072,253	$151.8m5.1m shares
VANECK ETF TRUST SMH	SMH	758,800	$99.9m758.8k shares
BILIBILI INC BILI 1.25 06.15.27	BILI 1.25 06.15.27	93,517,000	$94.2m93.5m shares
EXACT SCIENCES CORP EXAS 2 03.01.30	EXAS 2 03.01.30	84,202,000	$93.5m84.2m shares
PROMETHEUS BIOSCIENCES INC		797,567	$85.6m797.6k shares
SPDR SER TR XBI	XBI	1,103,000	$84.1m1.1m shares
BLOCK INC XYZ 0.5 05.15.23	XYZ 0.5 05.15.23	65,180,000	$67.0m65.2m shares
WIX COM LTD WIX 0 07.01.23	WIX 0 07.01.23	65,732,000	$64.9m65.7m shares
SELECT SECTOR SPDR TR XLY	XLY	415,504	$62.1m415.5k shares
NEW RELIC INC NEWR 0.5 05.01.23	NEWR 0.5 05.01.23	62,322,000	$62.1m62.3m shares
CLOUDFLARE INC NET 0.75 05.15.25	NET 0.75 05.15.25	35,711,000	$61.3m35.7m shares
MP MATERIALS CORP MP	MP	1,994,513	$56.2m2.0m shares
VANECK ETF TRUST OIH	OIH	193,400	$53.6m193.4k shares
JOYY INC JOYY 0.75 06.15.25	JOYY 0.75 06.15.25	50,600,000	$49.8m50.6m shares
INVESCO QQQ TR QQQ	QQQ	142,000	$45.6m142.0k shares
SILICON LABORATORIES INC SLAB 0.625 06.15.25	SLAB 0.625 06.15.25	30,000,000	$45.0m30.0m shares
PURE STORAGE INC PSTG 0.125 04.15.23	PSTG 0.125 04.15.23	44,515,000	$44.4m44.5m shares
FIRST REP BK SAN FRANCISCO C FRCB	FRCB	3,168,899	$44.3m3.2m shares
TRANSUNION TRU	TRU	635,376	$39.5m635.4k shares
CHARGEPOINT HOLDINGS INC		3,642,954	$38.1m3.6m shares
ROYAL CARIBBEAN GROUP RCL 4.25 06.15.23	RCL 4.25 06.15.23	36,068,000	$37.0m36.1m shares
IONIS PHARMACEUTICALS INC IONS 0.125 12.15.24	IONS 0.125 12.15.24	38,485,000	$35.6m38.5m shares
APOLLO STRATEGIC GRWT CPTL I		3,258,713	$33.4m3.3m shares

Options (notional value)

Underlying	Ticker	Type	Shares controlled	Notional	Change
AMAZON COM INC AMZN · Put	AMZN	Put	6,988,300	$911.0m7.0m shares	Reduced
META PLATFORMS INC META · Put	META	Put	2,643,400	$758.6m2.6m shares	Added
NVIDIA CORPORATION NVDA · Put	NVDA	Put	1,662,900	$703.4m1.7m shares	Reduced
MICROSOFT CORP MSFT · Call	MSFT	Call	1,310,400	$446.2m1.3m shares	Added
APPLE INC AAPL · Call	AAPL	Call	2,246,400	$435.7m2.2m shares	Reduced
TESLA INC TSLA · Put	TSLA	Put	1,487,100	$389.3m1.5m shares	Added
BOOKING HOLDINGS INC BKNG · Put	BKNG	Put	140,200	$378.6m140.2k shares	Added
CHIPOTLE MEXICAN GRILL INC CMG · Put	CMG	Put	166,400	$355.9m166.4k shares	Reduced
CITIGROUP INC C · Put	C	Put	7,432,700	$342.2m7.4m shares	Added
EXXON MOBIL CORP XOM · Call	XOM	Call	3,172,600	$340.3m3.2m shares	Reduced
NETFLIX INC NFLX · Put	NFLX	Put	753,100	$331.7m753.1k shares	Reduced
TESLA INC TSLA · Call	TSLA	Call	1,264,000	$330.9m1.3m shares	Reduced
ALIBABA GROUP HLDG LTD BABA · Put	BABA	Put	3,842,200	$320.2m3.8m shares	Added
EXXON MOBIL CORP XOM · Put	XOM	Put	2,956,600	$317.1m3.0m shares	Added
CHIPOTLE MEXICAN GRILL INC CMG · Call	CMG	Call	148,100	$316.8m148.1k shares	Added
AMAZON COM INC AMZN · Call	AMZN	Call	2,351,100	$306.5m2.4m shares	Reduced
ADVANCED MICRO DEVICES INC AMD · Put	AMD	Put	2,683,500	$305.7m2.7m shares	Reduced
BANK AMERICA CORP BAC · Put	BAC	Put	10,333,000	$296.5m10.3m shares	Added
T-MOBILE US INC TMUS · Call	TMUS	Call	2,082,900	$289.3m2.1m shares	Added
PALO ALTO NETWORKS INC PANW · Put	PANW	Put	1,127,500	$288.1m1.1m shares	Added
AUTOZONE INC AZO · Put	AZO	Put	114,400	$285.2m114.4k shares	Added
GOLDMAN SACHS GROUP INC GS · Put	GS	Put	847,400	$273.3m847.4k shares	Added
ALPHABET INC GOOGL · Call	GOOGL	Call	2,169,900	$259.7m2.2m shares	Added
VISA INC V · Call	V	Call	1,062,000	$252.2m1.1m shares	Added
NETFLIX INC NFLX · Call	NFLX	Call	531,900	$234.3m531.9k shares	Added