0000950123-21-006931.txt : 20210517 0000950123-21-006931.hdr.sgml : 20210517 20210517124938 ACCESSION NUMBER: 0000950123-21-006931 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 EFFECTIVENESS DATE: 20210517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CLOUGH CAPITAL PARTNERS L P CENTRAL INDEX KEY: 0001276144 IRS NUMBER: 043486480 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10679 FILM NUMBER: 21929011 BUSINESS ADDRESS: STREET 1: 53 STATE STREET STREET 2: 27TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172043400 MAIL ADDRESS: STREET 1: 53 STATE STREET STREET 2: 27TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001276144 XXXXXXXX 03-31-2021 03-31-2021 false Clough Capital Partners L P

53 State Street 27th Floor Boston MA 02109

13F HOLDINGS REPORT 028-10679 N Daniel Gillis 617-204-3409 /s/ Daniel Gillis Quincy MA 05-17-2021 1 144 2240612 false 1 028-12502 Charles I. Clough, Jr. INFORMATION TABLE 2 4693.xml INFORMATION TABLE FOR FORM 13F 1LIFE HEALTHCARE INC COM 68269G107 18696 478400 SH DFND 1 478400 0 0 21VIANET GROUP INC SPONSORED ADS A 90138A103 384 11900 SH DFND 1 11900 0 0 ABBVIE INC COM 00287Y109 9046 83590 SH DFND 1 83590 0 0 ABCELLERA BIOLOGICS INC COM 00288U106 16113 474484 SH DFND 1 474484 0 0 ACADIA HEALTHCARE COMPANY IN COM 00404A109 21216 371300 SH DFND 1 371300 0 0 AGNC INVT CORP COM 00123Q104 37797 2255200 SH DFND 1 2255200 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 4137 18247 SH DFND 1 18247 0 0 ALPHABET INC CAP STK CL C 02079K107 22887 11064 SH DFND 1 11064 0 0 AMAZON COM INC COM 023135106 6095 1970 SH DFND 1 1970 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 48621 5653600 SH DFND 1 5653600 0 0 ANTHEM INC COM 036752103 26912 74975 SH DFND 1 74975 0 0 APELLIS PHARMACEUTICALS INC COM 03753U106 20989 489149 SH DFND 1 489149 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 204 13761 SH DFND 1 13761 0 0 APPLIED MATLS INC COM 038222105 35045 262310 SH DFND 1 262310 0 0 ARES CAPITAL CORP NOTE 3.750% 2/0 04010LAT0 3096 3000000 PRN DFND 1 3000000 0 0 AVEO PHARMACEUTICALS INC COM NEW 053588307 2196 300000 SH DFND 1 300000 0 0 BAIDU INC SPON ADR REP A 056752108 653 3000 SH DFND 1 3000 0 0 BARINGS BDC INC COM 06759L103 12613 1263826 SH DFND 1 1263826 0 0 BAXTER INTL INC COM 071813109 6005 71200 SH DFND 1 71200 0 0 BILIBILI INC SPONS ADS REP Z 090040106 653 6100 SH DFND 1 6100 0 0 BK OF AMERICA CORP COM 060505104 38877 1004823 SH DFND 1 1004823 0 0 BLACKROCK HEALTH SCIENCS TR COM SHS 09260E105 2733 103900 SH DFND 1 103900 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 490 55287 SH DFND 1 55287 0 0 BOOKING HOLDINGS INC COM 09857L108 22832 9800 SH Call DFND 1 9800 0 0 BOOKING HOLDINGS INC COM 09857L108 28161 12087 SH DFND 1 12087 0 0 BRANDYWINEGBL GBL INCM OPP F COM 10537L104 709 58816 SH DFND 1 58816 0 0 BROADCOM INC COM 11135F101 21968 47380 SH DFND 1 47380 0 0 CALAMOS CONV OPPORTUNITIES & SH BEN INT 128117108 919 64600 SH DFND 1 64600 0 0 CALAMOS LNG SHR EQT DYNAMIC COM 12812C106 1704 84435 SH DFND 1 84435 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 38043 1433440 SH DFND 1 1433440 0 0 CARVANA CO CL A 146869102 17808 67864 SH DFND 1 67864 0 0 CENTER COAST BRKFLD MLP ENRG SHS BEN INT 151461209 581 53064 SH DFND 1 53064 0 0 CENTRAL SECS CORP COM 155123102 1288 33986 SH DFND 1 33986 0 0 CHECKMATE PHARMACEUTICALS IN COM 162818108 16417 1352313 SH DFND 1 1352313 0 0 CITIGROUP INC COM NEW 172967424 29972 411990 SH DFND 1 411990 0 0 COHEN & STEERS MLP INCOME & COM SHS 19249B106 2891 903467 SH DFND 1 903467 0 0 COMMUNITY HEALTHCARE TR INC COM 20369C106 14710 318959 SH DFND 1 318959 0 0 COVETRUS INC COM 22304C100 12351 412100 SH DFND 1 412100 0 0 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 13282 109000 SH Call DFND 1 109000 0 0 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 22783 186977 SH DFND 1 186977 0 0 CROWDSTRIKE HLDGS INC CL A 22788C105 6240 34190 SH DFND 1 34190 0 0 D R HORTON INC COM 23331A109 25533 286500 SH DFND 1 286500 0 0 DBX ETF TR XTRACK HRVST CSI 233051879 5063 131100 SH DFND 1 131100 0 0 DELAWARE ENHANCED GBL DIV & COM 246060107 1034 105426 SH DFND 1 105426 0 0 DISNEY WALT CO COM 254687106 20519 111200 SH Call DFND 1 111200 0 0 DISNEY WALT CO COM 254687106 26084 141360 SH DFND 1 141360 0 0 DUFF & PHELPS SLT ENGY AND M COM NEW 26433F207 589 80070 SH DFND 1 80070 0 0 DYNATRACE INC COM NEW 268150109 8817 182780 SH DFND 1 182780 0 0 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 2446 150234 SH DFND 1 150234 0 0 EATON VANCE FLTING RATE INC COM 278279104 277 19664 SH DFND 1 19664 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 155 23448 SH DFND 1 23448 0 0 EQUITABLE HLDGS INC COM 29452E101 35954 1102200 SH DFND 1 1102200 0 0 FIRST AMERN FINL CORP COM 31847R102 44493 785400 SH DFND 1 785400 0 0 FIRST EAGLE SENIOR LOAN FUND COM NEW 32010E100 876 61100 SH DFND 1 61100 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 200 16300 SH DFND 1 16300 0 0 FLEXION THERAPEUTICS INC COM 33938J106 5929 662406 SH DFND 1 662406 0 0 GABELLI UTIL TR RIGHT 04/14/2021 36240A168 22 201400 SH DFND 1 201400 0 0 GDS HLDGS LTD SPONSORED ADS 36165L108 288 3552 SH DFND 1 3552 0 0 GOLUB CAP BDC INC COM 38173M102 12078 826125 SH DFND 1 826125 0 0 GOSSAMER BIO INC COM 38341P102 4242 458634 SH DFND 1 458634 0 0 GOSSAMER BIO INC NOTE 5.000% 6/0 38341PAA0 3190 3500000 PRN DFND 1 3500000 0 0 GUGGENHEIM ENHANCED EQUITY I COM 40167B100 212 29365 SH DFND 1 29365 0 0 HANCOCK JOHN INVT TR TAX ADV GLB SH 41013P749 555 86430 SH DFND 1 86430 0 0 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 31 30000 PRN DFND 1 30000 0 0 HERZFELD CARIBBEAN BASIN FD COM 42804T106 450 76501 SH DFND 1 76501 0 0 HIGHLAND GLOBAL ALLOCATION F COM 43010T104 3414 442756 SH DFND 1 442756 0 0 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 2967 267533 SH DFND 1 267533 0 0 HOLOGIC INC COM 436440101 15696 211020 SH DFND 1 211020 0 0 HUMANA INC COM 444859102 26838 64015 SH DFND 1 64015 0 0 INTEL CORP COM 458140100 20096 314000 SH DFND 1 314000 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 1320 116100 SH DFND 1 116100 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 367000 1150000 SH Put DFND 1 1150000 0 0 ISHARES TR NASDAQ BIOTECH 464287556 29254 194300 SH Put DFND 1 194300 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 20510 124780 SH DFND 1 124780 0 0 JD.COM INC SPON ADR CL A 47215P106 1012 12000 SH DFND 1 12000 0 0 JOHNSON & JOHNSON COM 478160104 26260 159780 SH DFND 1 159780 0 0 JPMORGAN CHASE & CO COM 46625H100 26861 176450 SH DFND 1 176450 0 0 KURA ONCOLOGY INC COM 50127T109 717 25361 SH DFND 1 25361 0 0 LAM RESEARCH CORP COM 512807108 26030 43730 SH DFND 1 43730 0 0 LENNAR CORP CL A 526057104 26016 256999 SH DFND 1 256999 0 0 LILLY ELI & CO COM 532457108 1721 9213 SH DFND 1 9213 0 0 LYFT INC CL A COM 55087P104 26174 414270 SH DFND 1 414270 0 0 MASTERCARD INCORPORATED CL A 57636Q104 35995 101094 SH DFND 1 101094 0 0 MASTERCARD INCORPORATED CL A 57636Q104 39664 111400 SH Call DFND 1 111400 0 0 MCKESSON CORP COM 58155Q103 28633 146805 SH DFND 1 146805 0 0 MCKESSON CORP COM 58155Q103 39047 200200 SH Call DFND 1 200200 0 0 MERCK & CO. INC COM 58933Y105 17754 230300 SH DFND 1 230300 0 0 MICRON TECHNOLOGY INC COM 595112103 38724 439000 SH DFND 1 439000 0 0 MICROSOFT CORP COM 594918104 4576 19409 SH DFND 1 19409 0 0 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 1917 199700 SH DFND 1 199700 0 0 MIRATI THERAPEUTICS INC COM 60468T105 2622 15305 SH DFND 1 15305 0 0 MODERNA INC COM 60770K107 4704 35922 SH DFND 1 35922 0 0 NETEASE INC SPONSORED ADS 64110W102 880 8525 SH DFND 1 8525 0 0 NEXPOINT STRATEGIC OPPORTES COM NEW 65340G205 619 54358 SH DFND 1 54358 0 0 NUVEEN CORE EQUITY ALPHA FD COM 67090X107 2277 149700 SH DFND 1 149700 0 0 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 388 40900 SH DFND 1 40900 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 708 73244 SH DFND 1 73244 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 388 40700 SH DFND 1 40700 0 0 NUVEEN REAL ASSET INCOME & G COM 67074Y105 225 15293 SH DFND 1 15293 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 385 27300 SH DFND 1 27300 0 0 NUVEEN TAX-ADVANTAGED DIVID COM 67073G105 695 46000 SH DFND 1 46000 0 0 PENNYMAC FINL SVCS INC NEW COM 70932M107 49531 740701 SH DFND 1 740701 0 0 PFIZER INC COM 717081103 26752 738400 SH DFND 1 738400 0 0 PHYSICIANS RLTY TR COM 71943U104 8519 482100 SH DFND 1 482100 0 0 PINDUODUO INC SPONSORED ADS 722304102 496 3708 SH DFND 1 3708 0 0 REDWOOD TR INC COM 758075402 5891 565900 SH DFND 1 565900 0 0 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 1974 1978000 PRN DFND 1 1978000 0 0 REPARE THERAPEUTICS INC COM 760273102 9946 324079 SH DFND 1 324079 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 39616 462747 SH DFND 1 462747 0 0 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 953 186772 SH DFND 1 186772 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 9294 200000 SH Call DFND 1 200000 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 17245 371100 SH DFND 1 371100 0 0 SIXTH STREET SPECIALTY LENDN COM 83012A109 15620 742727 SH DFND 1 742727 0 0 SMART GLOBAL HLDGS INC SHS G8232Y101 11160 242500 SH DFND 1 242500 0 0 SPLUNK INC COM 848637104 3765 27790 SH DFND 1 27790 0 0 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 11314 10815000 PRN DFND 1 10815000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 9202 77800 SH DFND 1 77800 0 0 TELADOC HEALTH INC COM 87918A105 1562 8592 SH DFND 1 8592 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 1199 225831 SH DFND 1 225831 0 0 TESLA INC COM 88160R101 8924 13360 SH DFND 1 13360 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 21697 47542 SH DFND 1 47542 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 44634 97800 SH Call DFND 1 97800 0 0 TRANSDIGM GROUP INC COM 893641100 26809 45600 SH Call DFND 1 45600 0 0 TRANSDIGM GROUP INC COM 893641100 30287 51516 SH DFND 1 51516 0 0 TWILIO INC CL A 90138F102 6444 18910 SH DFND 1 18910 0 0 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 2352 2299000 PRN DFND 1 2299000 0 0 UBER TECHNOLOGIES INC COM 90353T100 27353 501800 SH DFND 1 501800 0 0 UNITEDHEALTH GROUP INC COM 91324P102 24036 64600 SH DFND 1 64600 0 0 UNIVERSAL HLTH SVCS INC CL B 913903100 22921 171835 SH DFND 1 171835 0 0 VERACYTE INC COM 92337F107 6203 115400 SH Call DFND 1 115400 0 0 VERACYTE INC COM 92337F107 8861 164860 SH DFND 1 164860 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 17466 81280 SH DFND 1 81280 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 77898 362500 SH Call DFND 1 362500 0 0 VIRTUS GLOBAL DIVID & INCOME COM 92835W107 1513 164476 SH DFND 1 164476 0 0 VIRTUS GLOBAL MULTI-SECTOR I COM 92829B101 206 17332 SH DFND 1 17332 0 0 VISA INC COM CL A 92826C839 18922 89370 SH DFND 1 89370 0 0 VOYA GLBL ADV & PREM OPP FD COM 92912R104 974 101739 SH DFND 1 101739 0 0 VOYA INFRASTRUCTURE INDLS & COM 92912X101 774 62508 SH DFND 1 62508 0 0 VOYA INTL HIGH DIV EQTY INM COM 92912Y109 1343 240722 SH DFND 1 240722 0 0 VOYA NAT RES EQUITY INCOME F COM 92913C106 3315 1001500 SH DFND 1 1001500 0 0 WELLS FARGO GLOBAL DIVID OPP COM 94987C103 965 183445 SH DFND 1 183445 0 0 ZAI LAB LTD ADR 98887Q104 12330 92410 SH DFND 1 92410 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 2364 14765 SH DFND 1 14765 0 0 ZOETIS INC CL A 98978V103 18741 119005 SH DFND 1 119005 0 0