Vault-13

HOPE BANCORP INC HOPE 2 05.15.38

NOTE 2.000% 5/1 · US DOMESTIC · CUSIP 43940TAB5

38 institutional holders -1 vs Q3 2022
27,134,03527.1m shares reported held*
$169.7mreported value*
2 new 7 added 7 reduced 3 sold out net sold ≈ $5.3m (-1.2m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $6.25.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 39Q4 22: 3838Q3 22Q4 22
Numbers
QuarterHolders
Q3 202239
Q4 202238

Biggest buyers

PALISADE CAPITAL MANAGEMENT, LP New +1,162,000+1.2m
INCOME RESEARCH & MANAGEMENT Added +520,000+520.0k
PIPER SANDLER & CO. Added +504,000+504.0k
CORBYN INVESTMENT MANAGEMENT INC/MD Added +42,000+42.0k
Cetera Advisor Networks LLC New +40,000+40.0k
Cetera Advisors LLC Added +21,000+21.0k
Russell Investments Group, Ltd. Added +12,000+12.0k
STIFEL FINANCIAL CORP Added +2,390+2.4k
Wellesley Asset Management Added +1,080+1.1k

Biggest sellers

LAZARD ASSET MANAGEMENT LLC Reduced -1,884,000-1.9m
BNP PARIBAS FINANCIAL MARKETS Reduced -1,853,000-1.9m
OAKTREE CAPITAL MANAGEMENT LP Reduced -1,413,000-1.4m
PALISADE CAPITAL MANAGEMENT, LP Sold out -1,162,000-1.2m
TORONTO DOMINION BANK Sold out -500,000-500.0k
WELLS FARGO & COMPANY/MN Reduced -362,000-362.0k
Asset Allocation & Management Company, LLC Reduced -355,000-355.0k
BNP PARIBAS FINANCIAL MARKETS Sold out -110,372-110.4k
ZAZOVE ASSOCIATES LLC Reduced -97,000-97.0k
Rehmann Capital Advisory Group Reduced -34,965-35.0k

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 LAZARD ASSET MANAGEMENT LLC 0.05% of their portfolio NEW YORK, NY 38,042,00038.0m $37.4m $37.4m 0.05% Reduced -1.9m -1,884,000
2 Asset Allocation & Management Company, LLC 8.21% of their portfolio CHICAGO, IL 21,725,00021.7m $21.2m $21.2m 8.21% Reduced -355.0k -355,000
3 OAKTREE CAPITAL MANAGEMENT LP 0.21% of their portfolio LOS ANGELES, CA 20,020,00020.0m $19.7m $19.7m 0.21% Reduced -1.4m -1,413,000
4 BNP PARIBAS FINANCIAL MARKETS 0.04% of their portfolio PARIS, I0 16,410,00016.4m $16.0m $16.0m 0.04% Reduced -1.9m -1,853,000
5 INCOME RESEARCH & MANAGEMENT 7.53% of their portfolio Boston, MA 16,332,00016.3m $16.0m $16.0m 7.53% Added +520.0k +520,000
6 PIPER SANDLER & CO. 8.01% of their portfolio MINNEAPOLIS, MN 7,919,0007.9m $7.7m $7.7m 8.01% Added +504.0k +504,000
7 ZAZOVE ASSOCIATES LLC 0.64% of their portfolio INCLINE VILLAGE, NV 7,061,0007.1m $6.9m $6.9m 0.64% Reduced -97.0k -97,000
8 Ameritas Investment Partners, Inc. 0.28% of their portfolio LINCOLN, NE 7,031,0007.0m $6.9m $6.9m 0.28% Unchanged
9 CORBYN INVESTMENT MANAGEMENT INC/MD 1.97% of their portfolio Lutherville, MD 5,075,0005.1m $5.0m $5.0m 1.97% Added +42.0k +42,000
10 Calamos Advisors LLC 0.02% of their portfolio NAPERVILLE, IL 5,000,0005.0m $4.9m $4.9m 0.02% Unchanged
11 EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC 0.74% of their portfolio Miamisburg, OH 4,720,0004.7m $4.6m $4.6m 0.74% Unchanged
12 CONNING INC. 0.14% of their portfolio HARTFORD, CT 4,450,0004.5m $4.3m $4.3m 0.14% Unchanged
13 Russell Investments Group, Ltd. 0.01% of their portfolio Seattle, WA 4,079,0004.1m $4.0m $4.0m 0.01% Added +12.0k +12,000
14 Cox Capital Mgt LLC 1.87% of their portfolio ANDOVER, MA 2,949,0002.9m $2.9m $2.9m 1.87% Unchanged
15 Thrivent Financial for Lutherans 0.01% of their portfolio Minneapolis, MN 2,300,0002.3m $2.2m $2.2m 0.01% Unchanged
16 SSI INVESTMENT MANAGEMENT LLC 0.14% of their portfolio Los Angeles, CA 2,255,0002.3m $2.2m $2.2m 0.14% Unchanged
17 DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 0.00% of their portfolio FRANKFURT AM MAIN, 2M 1,500,0001.5m $1.5m $1.5m 0.00% Unchanged
18 AGF MANAGEMENT LTD 0.01% of their portfolio TORONTO, A6 1,450,0001.4m $1.4m $1.4m 0.01% First filing
19 PALISADE CAPITAL MANAGEMENT, LP 0.03% of their portfolio FORT LEE, NJ 1,162,0001.2m $1.1m $1.1m 0.03% New
20 AQR Arbitrage LLC 0.03% of their portfolio Greenwich, CT 1,075,0001.1m $1.1m $1.1m 0.03% Unchanged
21 STATE FARM MUTUAL AUTOMOBILE INSURANCE CO 0.00% of their portfolio BLOOMINGTON, IL 1,000,0001.0m $983.6k $983.6k 0.00% Unchanged
22 L & S Advisors Inc 0.07% of their portfolio Los Angeles, CA 410,000410.0k $399.9k $399.9k 0.07% Unchanged
23 Cutler Capital Management, LLC 0.12% of their portfolio WORCESTER, MA 294,000294.0k $287.2k $287.2k 0.12% Unchanged
24 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 253,000253.0k $247.9k $247.9k 0.00% Reduced -362.0k -362,000
25 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 250,000250.0k $245.9k $245.9k 0.00% Unchanged
26 WMS Partners, LLC 0.01% of their portfolio TOWSON, MD 112,000112.0k $109.5k $109.5k 0.01% Unchanged
27 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 100,000100.0k $97.7k $97.7k 0.00% Unchanged
28 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 97,70097.7k $97.7k $97.7k 0.00% Added +2.4k +2,390
29 Cetera Advisor Networks LLC 0.00% of their portfolio EL SEGUNDO, CA 40,00040.0k $39.1k $39.1k 0.00% New
30 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 35,00035.0k $34.2k $34.2k 0.00% Unchanged
31 Cetera Advisors LLC 0.00% of their portfolio DENVER, CO 34,00034.0k $33.2k $33.2k 0.00% Added +21.0k +21,000
32 Balboa Wealth Partners 0.01% of their portfolio SCOTTSDALE, AZ 30,00030.0k $29.3k $29.3k 0.01% Unchanged
33 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 23,00023.0k $22.5k $22.5k 0.00% Unchanged
34 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 9,0009.0k $8.6k $8.6k 0.00% Unchanged
35 Wellesley Asset Management 0.27% of their portfolio PORTSMOUTH, NH 4,0104.0k $3.9k $3.9k 0.27% Added +1.1k +1,080
36 Rehmann Capital Advisory Group 0.00% of their portfolio LANSING, MI 3535 $34.2k $34.2k 0.00% Reduced -35.0k -34,965
37 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 77 $7.0k $7.0k 0.00% Unchanged
38 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged