0001085146-21-001657.txt : 20210514
0001085146-21-001657.hdr.sgml : 20210514
20210514103908
ACCESSION NUMBER: 0001085146-21-001657
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210514
DATE AS OF CHANGE: 20210514
EFFECTIVENESS DATE: 20210514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: OSTERWEIS CAPITAL MANAGEMENT INC
CENTRAL INDEX KEY: 0001007524
IRS NUMBER: 942871718
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-04483
FILM NUMBER: 21922556
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: STE 800
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4154344441
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: STE 800
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001007524
XXXXXXXX
03-31-2021
03-31-2021
false
OSTERWEIS CAPITAL MANAGEMENT INC
One Maritime Plaza
Ste 800
SAN FRANCISCO
CA
94111
13F HOLDINGS REPORT
028-04483
N
John Tavernetti
Chief Compliance Officer
415-434-4441
/s/ John Tavernetti
San Francisco
CA
05-14-2021
1
185
1834763
false
1
0001048802
028-06550
OSTERWEIS CAPITAL MANAGEMENT LLC/CA
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
ABBOTT LABS
COM
002824100
232
1940
SH
OTR
1
1940
0
0
ABBVIE INC
COM
00287Y109
326
3011
SH
OTR
1
3011
0
0
ACCOLADE INC
COM
00437E102
8377
184645
SH
OTR
1
184645
0
0
ADOBE SYSTEMS INCORPORATED
COM
00724F101
210
442
SH
OTR
1
442
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
18407
234485
SH
OTR
1
234485
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
9660
123060
SH
OTR
123060
0
0
AIR PRODS & CHEMS INC
COM
009158106
11928
42397
SH
OTR
42397
0
0
AIR PRODS & CHEMS INC
COM
009158106
22670
80580
SH
OTR
1
80580
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
10934
48223
SH
OTR
1
48223
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
6250
27565
SH
OTR
27565
0
0
ALPHABET INC
CAP STK CL A
02079K305
3145
1525
SH
OTR
1
1525
0
0
ALPHABET INC
CAP STK CL A
02079K305
631
306
SH
OTR
306
0
0
ALPHABET INC
CAP STK CL C
02079K107
29422
14223
SH
OTR
14223
0
0
ALPHABET INC
CAP STK CL C
02079K107
52322
25293
SH
OTR
1
25293
0
0
ALTERYX INC
NOTE 1.000% 8/0
02156BAF0
4220
4647000
PRN
OTR
1
4647000
0
0
ALX ONCOLOGY HLDGS INC
COM
00166B105
5578
75645
SH
OTR
1
75645
0
0
AMAZON COM INC
COM
023135106
9254
2991
SH
OTR
2991
0
0
AMAZON COM INC
COM
023135106
19047
6156
SH
OTR
1
6156
0
0
AMERICAN WTR WKS CO INC NEW
COM
030420103
6523
43512
SH
OTR
1
43512
0
0
AMERICAN WTR WKS CO INC NEW
COM
030420103
2422
16154
SH
OTR
16154
0
0
ANALOG DEVICES INC
COM
032654105
3726
24025
SH
OTR
1
24025
0
0
ANALOG DEVICES INC
COM
032654105
44
285
SH
OTR
285
0
0
APPLE INC
COM
037833100
4220
34550
SH
OTR
1
34550
0
0
APPLIED MATLS INC
COM
038222105
14383
107658
SH
OTR
107658
0
0
APPLIED MATLS INC
COM
038222105
25254
189028
SH
OTR
1
189028
0
0
AVALARA INC
COM
05338G106
3326
24930
SH
OTR
1
24930
0
0
AXON ENTERPRISE INC
COM
05464C101
6776
47575
SH
OTR
1
47575
0
0
BANDWIDTH INC
COM CL A
05988J103
3601
28415
SH
OTR
1
28415
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
2314
6
SH
OTR
6
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
386
1
SH
OTR
1
1
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1017
3980
SH
OTR
1
3980
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
96
375
SH
OTR
375
0
0
BIO-TECHNE CORP
COM
09073M104
9804
25670
SH
OTR
1
25670
0
0
BRIGHT HORIZONS FAM SOL IN D
COM
109194100
14628
85321
SH
OTR
1
85321
0
0
BRIGHT HORIZONS FAM SOL IN D
COM
109194100
8037
46879
SH
OTR
46879
0
0
BROOKS AUTOMATION INC NEW
COM
114340102
14722
180305
SH
OTR
1
180305
0
0
CALLAWAY GOLF CO
COM
131193104
3272
122325
SH
OTR
1
122325
0
0
CERENCE INC
COM
156727109
7495
83670
SH
OTR
1
83670
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
14869
24098
SH
OTR
24098
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
23795
38565
SH
OTR
1
38565
0
0
CHEGG INC
COM
163092109
6671
77875
SH
OTR
1
77875
0
0
CHEVRON CORP NEW
COM
166764100
1312
12525
SH
OTR
12525
0
0
CHEVRON CORP NEW
COM
166764100
8571
81792
SH
OTR
1
81792
0
0
CONMED CORP
NOTE 2.625% 2/0
207410AF8
14003
8930000
PRN
OTR
1
8930000
0
0
CREE INC
NOTE 0.875% 9/0
225447AB7
7595
4111000
PRN
OTR
1
4111000
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
9854
57246
SH
OTR
57246
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
19613
113945
SH
OTR
1
113945
0
0
DANAHER CORPORATION
COM
235851102
24802
110192
SH
OTR
1
110192
0
0
DANAHER CORPORATION
COM
235851102
13117
58276
SH
OTR
58276
0
0
DISNEY WALT CO
COM
254687106
673
3645
SH
OTR
1
3645
0
0
DOLLAR GEN CORP NEW
COM
256677105
21202
104641
SH
OTR
1
104641
0
0
DOLLAR GEN CORP NEW
COM
256677105
10610
52363
SH
OTR
52363
0
0
EARGO INC
COM
270087109
6119
122495
SH
OTR
1
122495
0
0
EQUIFAX INC
COM
294429105
101
560
SH
OTR
1
560
0
0
ESSEX PPTY TR INC
COM
297178105
1087
4000
SH
OTR
1
4000
0
0
ETSY INC
COM
29786A106
6528
32370
SH
OTR
1
32370
0
0
ETSY INC
NOTE 0.125%10/0
29786AAJ5
15581
6576000
PRN
OTR
1
6576000
0
0
EURONET WORLDWIDE INC
NOTE 0.750% 3/1
298736AL3
10357
9050000
PRN
OTR
1
9050000
0
0
EVERBRIDGE INC
COM
29978A104
6055
49970
SH
OTR
1
49970
0
0
EXXON MOBIL CORP
COM
30231G102
244
4369
SH
OTR
4369
0
0
EXXON MOBIL CORP
COM
30231G102
460
8234
SH
OTR
1
8234
0
0
EZCORP INC
NOTE 2.375% 5/0
302301AE6
8194
10000000
PRN
OTR
1
10000000
0
0
EZCORP INC
NOTE 2.875% 7/0
302301AF3
15510
16835000
PRN
OTR
1
16835000
0
0
FACEBOOK INC
CL A
30303M102
7397
25117
SH
OTR
1
25117
0
0
FEDEX CORP
COM
31428X106
36532
128615
SH
OTR
1
128615
0
0
FEDEX CORP
COM
31428X106
18455
64972
SH
OTR
64972
0
0
FIREEYE INC
NOTE 1.625% 6/0
31816QAD3
20474
20566000
PRN
OTR
1
20566000
0
0
FIRST REP BK SAN FRANCISCO C
COM
33616C100
21474
128777
SH
OTR
1
128777
0
0
FIRST REP BK SAN FRANCISCO C
COM
33616C100
12395
74333
SH
OTR
74333
0
0
FIRSTSERVICE CORP NEW
COM
33767E202
11817
79740
SH
OTR
1
79740
0
0
FISERV INC
COM
337738108
257
2160
SH
OTR
1
2160
0
0
FIVE9 INC
COM
338307101
10914
69815
SH
OTR
1
69815
0
0
FLOOR & DECOR HLDGS INC
CL A
339750101
11547
120940
SH
OTR
1
120940
0
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
131
2340
SH
OTR
2340
0
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
4623
82410
SH
OTR
1
82410
0
0
HERITAGE COMM CORP
COM
426927109
184
15021
SH
OTR
1
15021
0
0
HOME DEPOT INC
COM
437076102
9698
31772
SH
OTR
31772
0
0
HOME DEPOT INC
COM
437076102
20216
66229
SH
OTR
1
66229
0
0
HORIZON GLOBAL CORP
NOTE 2.750% 7/0
44052WAA2
18972
19767000
PRN
OTR
1
19767000
0
0
HUDSON EXECUTIVE INVT CORP
COM CL A
443761101
3293
331930
SH
OTR
1
331930
0
0
INPHI CORP
COM
45772F107
5767
32325
SH
OTR
1
32325
0
0
INSULET CORP
COM
45784P101
10777
41305
SH
OTR
1
41305
0
0
INTEGRA LIFESCIENCES HLDGS C
NOTE 0.500% 8/1
457985AM1
14520
13000000
PRN
OTR
1
13000000
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
12730
91185
SH
OTR
1
91185
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
6314
45224
SH
OTR
45224
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
259
812
PRN
OTR
1
812
0
0
IOVANCE BIOTHERAPEUTICS INC
COM
462260100
4574
144461
SH
OTR
1
144461
0
0
ISHARES TR
CORE 1 5 YR USD
46432F859
75
1470
PRN
OTR
1470
0
0
ISHARES TR
CORE 1 5 YR USD
46432F859
321
6260
PRN
OTR
1
6260
0
0
ISHARES TR
EXPND TEC SC ETF
464287549
335
927
PRN
OTR
1
927
0
0
JAZZ INVESTMENTS I LTD
NOTE 1.500% 8/1
472145AD3
6506
6000000
PRN
OTR
1
6000000
0
0
JAZZ INVESTMENTS I LTD
NOTE 1.875% 8/1
472145AB7
6451
6290000
PRN
OTR
1
6290000
0
0
JOHNSON & JOHNSON
COM
478160104
19886
120995
SH
OTR
1
120995
0
0
JOHNSON & JOHNSON
COM
478160104
8531
51907
SH
OTR
51907
0
0
JPMORGAN CHASE & CO
COM
46625H100
17946
117890
SH
OTR
117890
0
0
JPMORGAN CHASE & CO
COM
46625H100
40212
264156
SH
OTR
1
264156
0
0
KODIAK SCIENCES INC
COM
50015M109
14560
128409
SH
SOLE
128409
0
0
KRATOS DEFENSE & SEC SOLUTIO
COM NEW
50077B207
8901
326285
SH
OTR
1
326285
0
0
L3HARRIS TECHNOLOGIES INC
COM
502431109
5555
27410
SH
OTR
1
27410
0
0
L3HARRIS TECHNOLOGIES INC
COM
502431109
2032
10025
SH
OTR
10025
0
0
LEVI STRAUSS & CO NEW
CL A COM STK
52736R102
1196
50000
SH
OTR
1
50000
0
0
LILLY ELI & CO
COM
532457108
105
564
SH
OTR
1
564
0
0
LILLY ELI & CO
COM
532457108
2825
15123
SH
OTR
15123
0
0
LIVE NATION ENTERTAINMENT IN
NOTE 2.000% 2/1
538034AU3
9456
8500000
PRN
OTR
1
8500000
0
0
LIVERAMP HLDGS INC
COM
53815P108
4601
88690
SH
OTR
88690
0
0
LIVERAMP HLDGS INC
COM
53815P108
8521
164240
SH
OTR
1
164240
0
0
LYFT INC
CL A COM
55087P104
385
6099
SH
OTR
1
6099
0
0
MALIBU BOATS INC
COM CL A
56117J100
1511
18960
SH
OTR
1
18960
0
0
MARRIOTT VACTINS WORLDWID CO
COM
57164Y107
14597
83805
SH
OTR
1
83805
0
0
MAXIM INTEGRATED PRODS INC
COM
57772K101
287
3140
SH
OTR
1
3140
0
0
MERCK & CO. INC
COM
58933Y105
33
428
SH
OTR
428
0
0
MERCK & CO. INC
COM
58933Y105
368
4780
SH
OTR
1
4780
0
0
META FINL GROUP INC
COM
59100U108
15630
344960
SH
OTR
1
344960
0
0
MICRON TECHNOLOGY INC
COM
595112103
15305
173508
SH
OTR
1
173508
0
0
MICRON TECHNOLOGY INC
COM
595112103
10517
119222
SH
OTR
119222
0
0
MICROSOFT CORP
COM
594918104
21756
92278
SH
OTR
92278
0
0
MICROSOFT CORP
COM
594918104
47268
200482
SH
OTR
1
200482
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
4725
27585
SH
OTR
1
27585
0
0
MKS INSTRS INC
COM
55306N104
7820
42175
SH
OTR
1
42175
0
0
MONOLITHIC PWR SYS INC
COM
609839105
14637
41440
SH
OTR
1
41440
0
0
MONOLITHIC PWR SYS INC
COM
609839105
8046
22780
SH
OTR
22780
0
0
NEKTAR THERAPEUTICS
COM
640268108
2761
138044
SH
OTR
138044
0
0
NEKTAR THERAPEUTICS
COM
640268108
5138
256885
SH
OTR
1
256885
0
0
NEWPARK RES INC
NOTE 4.000%12/0
651718AE8
30269
30421000
PRN
OTR
1
30421000
0
0
NEXTERA ENERGY INC
COM
65339F101
7928
104858
SH
OTR
104858
0
0
NEXTERA ENERGY INC
COM
65339F101
16407
216996
SH
OTR
1
216996
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
7592
88816
SH
OTR
88816
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
16684
195179
SH
OTR
1
195179
0
0
OLD DOMINION FREIGHT LINE IN
COM
679580100
10798
44913
SH
OTR
44913
0
0
OLD DOMINION FREIGHT LINE IN
COM
679580100
21845
90867
SH
OTR
1
90867
0
0
ONTO INNOVATION INC
COM
683344105
7750
117937
SH
OTR
1
117937
0
0
OSI SYSTEMS INC
NOTE 1.250% 9/0
671044AD7
21153
19530000
PRN
OTR
1
19530000
0
0
PALANTIR TECHNOLOGIES INC
CL A
69608A108
819
35144
SH
SOLE
35144
0
0
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
616
6215
PRN
OTR
1
6215
0
0
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
157
1585
PRN
OTR
1585
0
0
PIONEER NAT RES CO
COM
723787107
5976
37625
SH
OTR
37625
0
0
PIONEER NAT RES CO
COM
723787107
10879
68500
SH
OTR
1
68500
0
0
PLANET FITNESS INC
CL A
72703H101
5911
76465
SH
OTR
1
76465
0
0
PROCTER AND GAMBLE CO
COM
742718109
954
7044
SH
OTR
7044
0
0
PROCTER AND GAMBLE CO
COM
742718109
2121
15660
SH
OTR
1
15660
0
0
PROGRESSIVE CORP
COM
743315103
19970
208866
SH
OTR
1
208866
0
0
PROGRESSIVE CORP
COM
743315103
10226
106954
SH
OTR
106954
0
0
PROGYNY INC
COM
74340E103
9417
211560
SH
OTR
1
211560
0
0
PROSHARES TR
S&P 500 DV ARIST
74348A467
218
2532
PRN
OTR
1
2532
0
0
PS BUSINESS PKS INC CALIF
COM
69360J107
11815
76433
SH
OTR
76433
0
0
PS BUSINESS PKS INC CALIF
COM
69360J107
22929
148334
SH
OTR
1
148334
0
0
RAMBUS INC DEL
NOTE 1.375% 2/0
750917AG1
5982
5000000
PRN
OTR
1
5000000
0
0
RAPID7 INC
COM
753422104
7566
101405
SH
OTR
1
101405
0
0
RAYONIER INC
COM
754907103
239
7410
SH
SOLE
7410
0
0
REPLIMUNE GROUP INC
COM
76029N106
5581
182930
SH
OTR
1
182930
0
0
ROSS STORES INC
COM
778296103
20746
173013
SH
OTR
1
173013
0
0
ROSS STORES INC
COM
778296103
11395
95030
SH
OTR
95030
0
0
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
226
2339
PRN
OTR
1
2339
0
0
SCHWAB STRATEGIC TR
US MID-CAP ETF
808524508
382
5127
PRN
OTR
1
5127
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
454
3421
PRN
OTR
1
3421
0
0
SMILEDIRECTCLUB INC
CL A COM
83192H106
8095
785200
SH
OTR
1
785200
0
0
SOUTHWEST AIRLS CO
NOTE 1.250% 5/0
844741BG2
15497
9000000
PRN
OTR
1
9000000
0
0
SPIRIT AIRLS INC
COM
848577102
10620
287805
SH
OTR
1
287805
0
0
SPROUT SOCIAL INC
COM CL A
85209W109
5033
87140
SH
OTR
1
87140
0
0
STARBUCKS CORP
COM
855244109
348
3186
SH
OTR
1
3186
0
0
SYNOPSYS INC
COM
871607107
13590
54849
SH
OTR
1
54849
0
0
SYNOPSYS INC
COM
871607107
7965
32144
SH
OTR
32144
0
0
SYSCO CORP
COM
871829107
13571
172350
SH
OTR
172350
0
0
SYSCO CORP
COM
871829107
26203
332775
SH
OTR
1
332775
0
0
TABULA RASA HEALTHCARE INC
NOTE 1.750% 2/1
873379AA9
8526
8400000
PRN
OTR
1
8400000
0
0
TANDEM DIABETES CARE INC
COM NEW
875372203
8929
101180
SH
OTR
1
101180
0
0
TELEFLEX INCORPORATED
COM
879369106
17271
41571
SH
OTR
1
41571
0
0
TELEFLEX INCORPORATED
COM
879369106
9463
22777
SH
OTR
22777
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
466
1020
SH
OTR
1
1020
0
0
T-MOBILE US INC
COM
872590104
6286
50170
SH
SOLE
50170
0
0
T-MOBILE US INC
COM
872590104
13027
103972
SH
OTR
1
103972
0
0
TURNING POINT THERAPEUTICS I
COM
90041T108
5277
55790
SH
OTR
1
55790
0
0
TUTOR PERINI CORP
NOTE 2.875% 6/1
901109AD0
36634
36115000
PRN
OTR
1
36115000
0
0
UNION PAC CORP
COM
907818108
12386
56197
SH
OTR
56197
0
0
UNION PAC CORP
COM
907818108
27107
122984
SH
OTR
1
122984
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1102
3025
PRN
OTR
1
3025
0
0
VISA INC
COM CL A
92826C839
24843
117331
SH
OTR
1
117331
0
0
VISA INC
COM CL A
92826C839
11740
55449
SH
OTR
55449
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
358
6524
SH
OTR
1
6524
0
0
WASTE CONNECTIONS INC
COM
94106B101
11381
105397
SH
OTR
105397
0
0
WASTE CONNECTIONS INC
COM
94106B101
22973
212749
SH
OTR
1
212749
0
0
WELLS FARGO CO NEW
COM
949746101
381
9755
SH
OTR
1
9755
0
0
WINGSTOP INC
COM
974155103
6732
52940
SH
OTR
1
52940
0
0
ZENDESK INC
COM
98936J101
10400
78419
SH
OTR
78419
0
0
ZENDESK INC
COM
98936J101
19853
149702
SH
OTR
1
149702
0
0