Chief Compliance Officer

0001085146-24-002185.txt : 20240503 0001085146-24-002185.hdr.sgml : 20240503 20240502211818 ACCESSION NUMBER: 0001085146-24-002185 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240503 DATE AS OF CHANGE: 20240502 EFFECTIVENESS DATE: 20240503 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MACKAY SHIELDS LLC CENTRAL INDEX KEY: 0000061227 ORGANIZATION NAME: IRS NUMBER: 134080466 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00046 FILM NUMBER: 24910506 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 212-230-3811 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP DATE OF NAME CHANGE: 19920929 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000061227 XXXXXXXX 03-31-2024 03-31-2024 false MACKAY SHIELDS LLC

1345 Avenue of the Americas 42ND FLOOR New York NY 10105

13F HOLDINGS REPORT 028-00046 N Chris Fitzgerald Chief Compliance Officer 212-230-3968 /s/ Chris Fitzgerald New York NY 04-29-2024 7 361 3607878455 1 0001133639 028-06325 NEW YORK LIFE INVESTMENT MANAGEMENT LLC 2 0001125816 028-06487 FIRST TRUST ADVISORS LP 3 0000071633 028-00065 NEW YORK LIFE INSURANCE CO 4 0001269119 028-10748 OPPENHEIMER ASSET MANAGEMENT INC. 5 0001162695 028-10044 MCMORGAN & CO LLC 6 0001447578 028-13256 RIVERNORTH CAPITAL MANAGEMENT, LLC 7 0001415996 028-13712 IndexIQ Advisors LLC INFORMATION TABLE 2 infotable.xml ABRDN NATL MUN INCOME FD SH BEN INT 24610T108 BBG001S76Y64 4161560 401695 SH SOLE 401695 0 0 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 4405433 3735000 PRN DFND 1 101000 3630000 4000 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 152155 129000 PRN OTR 4 50000 79000 0 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 266513 225000 PRN SOLE 225000 0 0 AKAMAI TECHNOLOGIES INC NOTE 0.375% 9/0 00971TAL5 1788233 1691000 PRN SOLE 1691000 0 0 AKAMAI 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57164YAD9 453390 476000 PRN SOLE 476000 0 0 MFS MUN INCOME TR SH BEN INT 552738106 BBG001S5T4C2 1789042 333155 SH SOLE 333155 0 0 MGP INGREDIENTS INC NEW NOTE 1.875%11/1 55303JAB2 2272169 2098000 PRN SOLE 2098000 0 0 MGP INGREDIENTS INC NEW NOTE 1.875%11/1 55303JAB2 44358237 40914000 PRN OTR 1 0 40914000 0 MGP INGREDIENTS INC NEW NOTE 1.875%11/1 55303JAB2 174625 162000 PRN OTR 4 68000 94000 0 MGP INGREDIENTS INC NEW NOTE 1.875%11/1 55303JAB2 5119090 4749000 PRN DFND 1 132000 4612000 5000 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 72896278 68383000 PRN OTR 1 0 68383000 0 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 3159652 2972000 PRN SOLE 2972000 0 0 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 6685361 6301000 PRN DFND 1 178000 6115000 8000 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 220688 208000 PRN OTR 4 84000 124000 0 MODEL N INC NOTE 1.875% 3/1 607525AD4 21008154 21804000 PRN OTR 1 0 21804000 0 MODEL N INC NOTE 1.875% 3/1 607525AD4 1531002 1589000 PRN SOLE 1589000 0 0 MONGODB INC NOTE 0.250% 1/1 60937PAD8 1372946 782000 PRN SOLE 782000 0 0 MONGODB INC NOTE 0.250% 1/1 60937PAD8 25659340 14615000 PRN OTR 1 0 14615000 0 NCL CORP LTD NOTE 5.375% 8/0 62886HAX9 1008928 769000 PRN SOLE 769000 0 0 NCL CORP LTD NOTE 5.375% 8/0 62886HAX9 20666624 15752000 PRN OTR 1 0 15752000 0 NCL CORP LTD NOTE 5.375% 8/0 62886HAX9 218269 167000 PRN OTR 4 66000 101000 0 NCL CORP LTD NOTE 5.375% 8/0 62886HAX9 6382081 4883000 PRN DFND 1 137000 4741000 5000 NCL CORP LTD NOTE 6.000% 5/1 62886HAT8 181844 119000 PRN SOLE 119000 0 0 NCL CORP LTD NOTE 6.000% 5/1 62886HAT8 7036901 4605000 PRN OTR 1 0 4605000 0 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 2734928 69090 SH SOLE 69090 0 0 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 36814050 930000 SH OTR 1 0 930000 0 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 9679283 248633 SH DFND 1 6833 241518 282 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 322340 8280 SH OTR 4 3383 4897 0 NICE LTD NOTE 9/1 653656AB4 4445374 4235000 PRN SOLE 4235000 0 0 NICE LTD NOTE 9/1 653656AB4 98724780 94248000 PRN OTR 1 0 94248000 0 NICE LTD NOTE 9/1 653656AB4 331515 318000 PRN OTR 4 129000 189000 0 NICE LTD NOTE 9/1 653656AB4 9874560 9472000 PRN DFND 1 257000 9204000 11000 NINE ENERGY SERVICE INC COM 65441V101 BBG004M28MG8 1357 606 SH OTR 5 0 606 0 NINE ENERGY SERVICE INC COM 65441V101 BBG004M28MG8 343661 153420 SH OTR 1 0 153420 0 NINE ENERGY SERVICE INC COM 65441V101 BBG004M28MG8 60410 27448 SH SOLE 27448 0 0 NORTHERN OIL & GAS INC NOTE 3.625% 4/1 665531AJ8 202105 166000 PRN OTR 4 67000 99000 0 NORTHERN OIL & GAS INC NOTE 3.625% 4/1 665531AJ8 16154695 13228000 PRN OTR 1 0 13228000 0 NORTHERN OIL & GAS INC NOTE 3.625% 4/1 665531AJ8 619174 507000 PRN SOLE 507000 0 0 NORTHERN OIL & GAS INC NOTE 3.625% 4/1 665531AJ8 6042453 4963000 PRN DFND 1 138000 4820000 5000 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 9883983 5974000 PRN DFND 1 163000 5804000 7000 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 88162342 53206000 PRN OTR 1 0 53206000 0 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 322628 195000 PRN OTR 4 80000 115000 0 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 4954430 2990000 PRN SOLE 2990000 0 0 NUTANIX INC NOTE 0.250%10/0 67059NAH1 28009560 22772000 PRN OTR 1 0 22772000 0 NUTANIX INC NOTE 0.250%10/0 67059NAH1 1602690 1303000 PRN SOLE 1303000 0 0 NUTANIX INC NOTE 0.250%10/0 67059NAH1 230300 188000 PRN OTR 4 77000 111000 0 NUTANIX INC NOTE 0.250%10/0 67059NAH1 6910225 5641000 PRN DFND 1 154000 5480000 7000 NUVASIVE INC NOTE 0.375% 3/1 670704AJ4 20090804 21043000 PRN OTR 1 0 21043000 0 NUVASIVE INC NOTE 0.375% 3/1 670704AJ4 1020628 1069000 PRN SOLE 1069000 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 BBG001SHZCF8 3436943 282876 SH OTR 1 0 282876 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 BBG001SHZCF8 5119366 421347 SH SOLE 421347 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 BBG001SKQWJ3 19387057 1751315 SH SOLE 1751315 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 BBG001SKQWJ3 830250 75000 SH OTR 1 0 75000 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 BBG001SCTG12 826500 75000 SH OTR 1 0 75000 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 BBG001SCTG12 4050170 367529 SH SOLE 367529 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 BBG001S97B05 3614362 295291 SH OTR 1 0 295291 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 BBG001S97B05 11615601 948987 SH SOLE 948987 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 BBG001S90BW7 1861672 171267 SH OTR 1 0 171267 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 BBG001S90BW7 6685746 615064 SH SOLE 615064 0 0 NUVEEN PENNSYLVANIA QLT MUN COM 670972108 BBG001S6PT66 2757724 233310 SH SOLE 233310 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 BBG001SCTFM1 3487519 304321 SH SOLE 304321 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 BBG001SCTFM1 597444 52133 SH OTR 1 0 52133 0 OIL STS INTL INC NOTE 4.750% 4/0 678026AK1 46783433 48325000 PRN OTR 1 0 48325000 0 OIL STS INTL INC NOTE 4.750% 4/0 678026AK1 2317406 2410000 PRN SOLE 2410000 0 0 OKTA INC NOTE 0.125% 9/0 679295AD7 1003888 1043000 PRN SOLE 1043000 0 0 OKTA INC NOTE 0.125% 9/0 679295AD7 12324813 12805000 PRN OTR 1 0 12805000 0 OMNICELL COM NOTE 0.250% 9/1 68213NAD1 638065 677000 PRN SOLE 677000 0 0 OMNICELL COM NOTE 0.250% 9/1 68213NAD1 18295586 19412000 PRN OTR 1 0 19412000 0 ON SEMICONDUCTOR CORP NOTE 0.500% 3/0 682189AU9 2354809 2381000 PRN SOLE 2381000 0 0 ON SEMICONDUCTOR CORP NOTE 0.500% 3/0 682189AU9 46892446 47414000 PRN OTR 1 0 47414000 0 PACIRA BIOSCIENCES INC NOTE 0.750% 8/0 695127AF7 32338328 33951000 PRN OTR 1 0 33951000 0 PACIRA BIOSCIENCES INC NOTE 0.750% 8/0 695127AF7 1519238 1595000 PRN SOLE 1595000 0 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 10885156 3814000 PRN DFND 1 109000 3700000 5000 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 2204289 771000 PRN SOLE 771000 0 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 368166 129000 PRN OTR 4 50000 79000 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 60482145 21155000 PRN OTR 1 0 21155000 0 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 2159339 1667000 PRN SOLE 1667000 0 0 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 43620718 33675000 PRN OTR 1 0 33675000 0 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 9651292 7476000 PRN DFND 1 208000 7259000 9000 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 320161 248000 PRN OTR 4 99000 149000 0 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 5525801 6161000 PRN DFND 1 167000 5987000 7000 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 309352 343000 PRN SOLE 343000 0 0 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 181174 202000 PRN OTR 4 82000 120000 0 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 5287840 5863000 PRN OTR 1 0 5863000 0 PERMIAN RESOURCES CORP NOTE 3.250% 4/0 15136AAA0 42870338 14471000 PRN OTR 1 0 14471000 0 PERMIAN RESOURCES CORP NOTE 3.250% 4/0 15136AAA0 2121150 716000 PRN SOLE 716000 0 0 PIONEER MUNICIPAL HIGH INCOM COM 723762100 BBG001SC4CM5 1633252 200399 SH OTR 1 0 200399 0 PIONEER MUNICIPAL HIGH INCOM COM 723762100 BBG001SC4CM5 4498450 551957 SH SOLE 551957 0 0 PIONEER MUNICIPAL HIGH INCOM COM SHS 723763108 BBG001SLS3T2 1776433 200954 SH OTR 1 0 200954 0 PIONEER MUNICIPAL HIGH INCOM COM SHS 723763108 BBG001SLS3T2 5047030 570931 SH SOLE 570931 0 0 PIONEER NAT RES CO NOTE 0.250% 5/1 723787AP2 4482708 1565000 PRN SOLE 1565000 0 0 PIONEER NAT RES CO NOTE 0.250% 5/1 723787AP2 12826930 4484000 PRN DFND 1 122000 4357000 5000 PIONEER NAT RES CO NOTE 0.250% 5/1 723787AP2 86168241 30083000 PRN OTR 1 0 30083000 0 PIONEER NAT RES CO NOTE 0.250% 5/1 723787AP2 451975 158000 PRN OTR 4 67000 91000 0 POST HLDGS INC NOTE 2.500% 8/1 737446AT1 34362230 30490000 PRN OTR 1 0 30490000 0 POST HLDGS INC NOTE 2.500% 8/1 737446AT1 228273 203000 PRN OTR 4 82000 121000 0 POST HLDGS INC NOTE 2.500% 8/1 737446AT1 1485386 1318000 PRN SOLE 1318000 0 0 POST HLDGS INC NOTE 2.500% 8/1 737446AT1 6939289 6171000 PRN DFND 1 170000 5994000 7000 PPL CAP FDG INC NOTE 2.875% 3/1 69352PAS2 480375 500000 PRN SOLE 500000 0 0 Q2 HLDGS INC NOTE 0.750% 6/0 74736LAD1 371475 390000 PRN SOLE 390000 0 0 Q2 HLDGS INC NOTE 0.750% 6/0 74736LAD1 6853238 7195000 PRN OTR 1 0 7195000 0 RIVIAN AUTOMOTIVE INC NOTE 4.625% 3/1 76954AAB9 12463502 15473000 PRN OTR 1 0 15473000 0 RIVIAN AUTOMOTIVE INC NOTE 4.625% 3/1 76954AAB9 522770 649000 PRN SOLE 649000 0 0 ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 780153BQ4 21267090 7470000 PRN OTR 1 0 7470000 0 ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 780153BQ4 1096095 385000 PRN SOLE 385000 0 0 SABRE GLBL INC NOTE 4.000% 4/1 78573NAE2 98280 105000 PRN SOLE 105000 0 0 SABRE GLBL INC NOTE 4.000% 4/1 78573NAE2 2826720 3020000 PRN OTR 1 0 3020000 0 SHIFT4 PMTS INC NOTE 12/1 82452JAB5 208650 195000 PRN OTR 4 81000 114000 0 SHIFT4 PMTS INC NOTE 12/1 82452JAB5 31852250 29630000 PRN OTR 1 0 29630000 0 SHIFT4 PMTS INC NOTE 12/1 82452JAB5 6133240 5732000 PRN DFND 1 154000 5571000 7000 SHIFT4 PMTS INC NOTE 12/1 82452JAB5 1536175 1429000 PRN SOLE 1429000 0 0 SNAP INC NOTE 0.125% 3/0 83304AAH9 676583 885000 PRN SOLE 885000 0 0 SNAP INC NOTE 0.125% 3/0 83304AAH9 19053634 24923000 PRN OTR 1 0 24923000 0 SNAP INC NOTE 5/0 83304AAF3 16639442 20573000 PRN OTR 1 0 20573000 0 SNAP INC NOTE 5/0 83304AAF3 604982 748000 PRN SOLE 748000 0 0 SOLAREDGE TECHNOLOGIES INC NOTE 9/1 83417MAD6 534203 583000 PRN SOLE 583000 0 0 SOLAREDGE TECHNOLOGIES INC NOTE 9/1 83417MAD6 14879796 16239000 PRN OTR 1 0 16239000 0 SOUTHERN CO NOTE 3.875%12/1 842587DP9 647563 650000 PRN SOLE 650000 0 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 4848492 4791000 PRN DFND 1 135000 4651000 5000 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 57461993 56571000 PRN OTR 1 0 56571000 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 163944 162000 PRN OTR 4 67000 95000 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 2239275 2217000 PRN SOLE 2217000 0 0 SPDR GOLD TR GOLD SHS 78463V107 BBG001SCPX28 11383722 55336 SH OTR 1 0 55336 0 SUMMIT HOTEL PPTYS NOTE 1.500% 2/1 866082AA8 23107482 25804000 PRN OTR 1 0 25804000 0 SUMMIT HOTEL PPTYS NOTE 1.500% 2/1 866082AA8 821174 917000 PRN SOLE 917000 0 0 TALOS ENERGY INC COM 87484T108 BBG00JPH4JG0 6271602 450196 SH SOLE 450196 0 0 TALOS ENERGY INC COM 87484T108 BBG00JPH4JG0 86185 6187 SH OTR 5 0 6187 0 TALOS ENERGY INC COM 87484T108 BBG00JPH4JG0 37563499 2696590 SH OTR 1 0 2696590 0 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 5213390 6188000 PRN DFND 1 173000 6009000 6000 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 1086670 1286000 PRN SOLE 1286000 0 0 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 176083 209000 PRN OTR 4 83000 126000 0 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 20546175 24315000 PRN OTR 1 0 24315000 0 UBER TECHNOLOGIES INC NOTE 12/1 90353TAJ9 7038075 6270000 PRN DFND 1 171000 6092000 7000 UBER TECHNOLOGIES INC NOTE 12/1 90353TAJ9 233480 208000 PRN OTR 4 84000 124000 0 UBER TECHNOLOGIES INC NOTE 12/1 90353TAJ9 59758 53000 PRN SOLE 53000 0 0 VAIL RESORTS INC NOTE 1/0 91879QAN9 53925800 58615000 PRN OTR 1 0 58615000 0 VAIL RESORTS INC NOTE 1/0 91879QAN9 6383040 6976000 PRN DFND 1 189000 6779000 8000 VAIL RESORTS INC NOTE 1/0 91879QAN9 2058960 2238000 PRN SOLE 2238000 0 0 VAIL RESORTS INC NOTE 1/0 91879QAN9 216855 237000 PRN OTR 4 98000 139000 0 VISTRA CORP COM 92840M102 BBG00DXDL6R0 969389 13918 SH OTR 2 0 13918 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 BBG001S6MDB8 10377596 1166022 SH OTR 1 0 1166022 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 102425 84 SH OTR 4 34 50 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2958066 2417 SH SOLE 2417 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 29147414 23816 SH OTR 1 0 23816 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2917905 2393 SH DFND 1 70 2320 3 WOLFSPEED INC NOTE 0.250% 2/1 977852AB8 4304480 7377000 PRN DFND 1 205000 7163000 9000 WOLFSPEED INC NOTE 0.250% 2/1 977852AB8 725032 1232000 PRN SOLE 1232000 0 0 WOLFSPEED INC NOTE 0.250% 2/1 977852AB8 11006127 18702000 PRN OTR 1 0 18702000 0 WOLFSPEED INC NOTE 0.250% 2/1 977852AB8 141791 243000 PRN OTR 4 99000 144000 0 ZIFF DAVIS INC NOTE 1.750%11/0 48123VAE2 8089957 8505000 PRN OTR 1 0 8505000 0 ZIFF DAVIS INC NOTE 1.750%11/0 48123VAE2 575476 605000 PRN SOLE 605000 0 0 ZILLOW GROUP INC NOTE 2.750% 5/1 98954MAH4 35900143 33828000 PRN OTR 1 0 33828000 0 ZILLOW GROUP INC NOTE 2.750% 5/1 98954MAH4 1911321 1801000 PRN SOLE 1801000 0 0 ZILLOW GROUP INC NOTE 2.750% 5/1 98954MAH4 6336504 5999000 PRN DFND 1 166000 5826000 7000 ZILLOW GROUP INC NOTE 2.750% 5/1 98954MAH4 209139 198000 PRN OTR 4 81000 117000 0 ZSCALER INC NOTE 0.125% 7/0 98980GAB8 265678 195000 PRN OTR 4 81000 114000 0 ZSCALER INC NOTE 0.125% 7/0 98980GAB8 24205241 17701000 PRN OTR 1 0 17701000 0 ZSCALER INC NOTE 0.125% 7/0 98980GAB8 2029297 1484000 PRN SOLE 1484000 0 0 ZSCALER INC NOTE 0.125% 7/0 98980GAB8 7943084 5830000 PRN DFND 1 159000 5664000 7000