MACKAY SHIELDS LLC
Q3 2026 Form 13-F
NEW YORK, NEW YORK
CIK 0000061227
· CRD 107717
· SEC-registered investment adviser
Consolidated report · includes
7 managers
since Q2 2013
$2.8B Reported Value Total
MACKAY SHIELDS LLC reports 366 total accounts under management (AUM). There are 366 discretionary accounts valued at $159,521,129,399, and 0 non-discretionary accounts.
Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
Private funds (Form ADV)
33 funds
· $14.4B gross asset value
Hedge Fund: $12.4B · Private Equity Fund: $930.7M · Securitized Asset Fund: $754.1M · Other: $255.5M
Source: Form ADV filed 2026-08-06
Reported value
$2.8B
Quarter over quarter
-6.2%
Holdings
29
Top-10 concentration
26.7%
Reports holdings for
- NEW YORK LIFE INSURANCE CO · File #028-00065 · since Q1 2018 · declared by one filing
- FIRST TRUST ADVISORS LP · File #028-06487 · since Q2 2013
- NEW YORK LIFE INVESTMENT MANAGEMENT LLC · File #028-06325 · since Q2 2013
- MCMORGAN & CO LLC · File #028-10044 · since Q4 2018 · declared by one filing
- OPPENHEIMER ASSET MANAGEMENT INC · File #028-10748 · since Q2 2018 · declared by one filing
- IndexIQ Advisors LLC · File #028-13712 · since Q3 2019
- RIVERNORTH CAPITAL MANAGEMENT LLC · File #028-13256 · since Q4 2018 · declared by one filing
- UBS ASSET MANAGEMENT AMERICAS INC · File #028-02682 · Q2 2013 – Q2 2015 · declared by one filing
- Mercer Trust Co LLC · File #028-14465 · Q2 2013 – Q3 2014 · declared by one filing
- Mercer Investments LLC · File #028-12567 · Q2 2013 – Q2 2013 · declared by one filing
Key People
Form ADV owners & control persons
Naim (nmn) Abou-Jaoude
CHAIRMAN OF THE BOARD OF MANAGERS
Rene Arturo Bustamante
CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE MANAGING DIRECTOR
Michael Daniel Corker
CHIEF FINANCIAL OFFICER, SENIOR MANAGING DIRECTOR
Filing Navigation
Coverage begins with the second quarter of 2013. Earlier quarters are not shown while their accuracy is being verified.
13F Metrics
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Q3 2026 13F record
Q3 2026 13F filing summary
| Period of report | September 30, 2026 |
|---|---|
| Filed | October 13, 2026 |
| Form | 13F-HR |
| Reported value | $2.8B |
| Positions | 29 |
| Change in reported value | -7.6% |
| New positions | 9 |
| Exited positions | 14 |
| Position turnover | 53.5% |
| Top-10 concentration | 26.7% |
13F filings by quarter
| Quarter | Positions | Value |
|---|---|---|
|
Q3 2026 13F
Filed Oct 13, 2026
|
29 | $2.8B |
|
Q2 2026 13F
Filed Jul 28, 2026
|
32 | $3.0B |
|
Q1 2026 13F
Filed Apr 27, 2026
|
37 | $2.7B |
|
Q4 2025 13F
Filed Jan 29, 2026
|
48 | $2.9B |
|
Q3 2025 13F
Filed Oct 27, 2025
|
54 | $2.9B |
|
Q2 2025 13F
Filed Jul 24, 2025
|
59 | $3.1B |
|
Q1 2025 13F
Filed Apr 29, 2025
|
58 | $3.1B |
|
Q4 2024 13F
Filed Feb 4, 2025
|
57 | $3.4B |
|
Q3 2024 13F
Filed Oct 31, 2024
|
54 | $3.6B |
|
Q2 2024 13F
Filed Aug 8, 2024
|
53 | $3.3B |
|
Q1 2024 13F
Filed May 3, 2024
|
48 | $3.6B |
|
Q4 2023 13F
Filed Feb 2, 2024
|
45 | $3.4B |
|
Q3 2023 13F
Filed Oct 25, 2023
|
41 | $3.6B |
|
Q2 2023 13F
Filed Jul 27, 2023
|
49 | $3.6B |
|
Q1 2023 13F
Filed Apr 27, 2023
|
52 | $3.6B |
|
Q4 2022 13F
Filed Jan 31, 2023
|
56 | $3.9B |
|
Q3 2022 13F
Filed Nov 2, 2022
|
61 | $4.0B |
|
Q2 2022 13F
Filed Aug 3, 2022
|
63 | $4.1B |
|
Q1 2022 13F
Filed May 13, 2022
|
553 | $11.4B |
|
Q4 2021 13F
Filed Feb 4, 2022
|
552 | $12.0B |
34 earlier quarters on file — choose one from the quarter menu above.
Top 20 holdings · Q3 2026
| # | Holding | Reported value | % of portfolio |
|---|---|---|---|
| 1 | GGLAP ALPHABET INC | $119.7M | 4.34% |
| 2 | HPEPRC HEWLETT PACKARD ENTERPRISE C | $98.6M | 3.57% |
| 3 | SNOW 0 10/01/27 SNOWFLAKE INC | $79.6M | 2.89% |
| 4 | LITE 0.5 06/15/28 LUMENTUM HLDGS INC | $75.0M | 2.72% |
| 5 | MKSI 1.25 06/01/30 MKS INC. | $66.9M | 2.43% |
| 6 | NET 0 06/15/30 CLOUDFLARE INC | $66.1M | 2.4% |
| 7 | RVMD 0.5 05/01/33 REVOLUTION MEDICINES INC | $62.8M | 2.28% |
| 8 | UBER 0.875 12/01/28 2028 UBER TECHNOLOGIES INC | $59.3M | 2.15% |
| 9 | TTEK 2.25 08/15/28 TETRA TECH INC NEW | $55.7M | 2.02% |
| 10 | WDC 3 11/15/28 WESTERN DIGITAL CORP | $52.7M | 1.91% |
| 11 | QXOPRB QXO INC | $52.2M | 1.89% |
| 12 | PCG 4.25 12/01/27 PG&E CORP | $50.4M | 1.83% |
| 13 | BAPRA BOEING CO | $48.9M | 1.77% |
| 14 | NEEPRS NEXTERA ENERGY INC | $45.9M | 1.66% |
| 15 | MMSI 3 02/01/29 MERIT MED SYS INC | $44.2M | 1.6% |
| 16 | MCHPP MICROCHIP TECHNOLOGY INC. | $43.0M | 1.56% |
| 17 | BTT BLACKROCK MUN TARGET TERM TR | $43.0M | 1.56% |
| 18 | AKAM 0.375 09/01/27 AKAMAI TECHNOLOGIES INC | $42.1M | 1.53% |
| 19 | FRPT 3 04/01/28 FRESHPET INC | $41.1M | 1.49% |
| 20 | FWONK 2.25 08/15/27 LIBERTY MEDIA CORP DEL | $39.8M | 1.44% |
Values as reported on the Q3 2026 Form 13F. Every position is in the holdings table below.