NPORT-P false 0000874964 XXXXXXXX S000047900 C000150427 C000150428 THE LAZARD FUNDS, INC. 811-06312 0000874964 FHQ86OSTXPK3IHDU6X52 30 ROCKEFELLER PLAZA NEW YORK 10112 212-632-6000 Lazard Enhanced Opportunities Portfolio S000047900 549300WDE3F1JD57FL29 2019-12-31 2019-09-30 N 12836553.89 3568481.64 9268072.25 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 14805.20000000 CAD USD N Green Plains Inc VJ5WLTHARBSDR14KIZ98 393222104 -1936.00000000 NS USD -20511.92000000 -0.22131808478 Short EC CORP US N 1 N N N Patrick Industries Inc 549300FZ5ZTCCJ3Z5W14 703343103 -429.00000000 NS USD -18395.52000000 -0.19848269957 Short EC CORP US N 1 N N N ZILLOW GROUP INC 2549002XEELQDIR6FU05 98954MAD3 103000.00000000 PA USD 98371.51000000 1.061402062332 Long DBT CORP US N 2 2024-09-01 Fixed 0.75000000 N N N N Y Zillow Group Inc USD XXXX N N N Enphase Energy Inc 5493008U7KIGMI59Z314 29355A107 -1980.00000000 NS USD -44015.40000000 -0.47491429514 Short EC CORP US N 1 N N N Wright Medical Group NV 549300JGCCQ1HTDOXU32 98236JAB4 88000.00000000 PA USD 102677.54000000 1.107862964706 Long DBT CORP NL N 2 2021-11-15 Fixed 2.25000000 N N N N Y Wright Medical Group NV USD XXXX N N N Zillow Group Inc 2549002XEELQDIR6FU05 98954M200 -1857.00000000 NS USD -55375.74000000 -0.59748929989 Short EC CORP US N 1 N N N Liberty Latin America Ltd 213800YWQHEAX7CAVO83 000000000 -2229.00000000 NS USD -38104.76000000 -0.41114008363 Short EC CORP BM N 1 N N N RH 5493008MTS3OGGMHGK69 74967XAC7 48000.00000000 PA USD 48231.21000000 0.520401748054 Long DBT CORP US N 2 2024-09-15 None 0.00000000 N N N N N RH USD XXXX N N N VISHAY INTERTECHNOLOGY 5493009O8F3QQJTCQR75 928298AP3 114000.00000000 PA USD 106567.14000000 1.149830699690 Long DBT CORP US N 2 2025-06-15 Fixed 2.25000000 N N N N N Vishay Intertechnology Inc USD XXXX N N N Air Transport Services Group Inc 5493000F3MSFGIXTQE27 00922R105 -1959.00000000 NS USD -41178.18000000 -0.44430145654 Short EC CORP US N 1 N N N Encore Capital Group Inc 5493000UVC6H49CIH830 292554102 -3654.00000000 NS USD -121769.55000000 -1.31386060353 Short EC CORP US N 1 N N N DexCom Inc 549300YSK3QDSFR5EU59 252131107 -145.00000000 NS USD -21639.80000000 -0.23348760579 Short EC CORP US N 1 N N N Heska Corp 529900O1OR2EB7L0HY27 42805E306 -269.00000000 NS USD -19064.03000000 -0.20569574217 Short EC CORP US N 1 N N N OTA LLC 5493005E2C5WY15S7E91 000000000 6.00000000 NC USD 120.00000000 0.001294767636 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Evolent Health Inc Evolent Health Inc 100.00000000 12.50000000 USD 2019-12-20 XXXX -124.75000000 N N N Altair Engineering Inc 549300FJ89HZ6GU9S994 021369103 -615.00000000 NS USD -21291.30000000 -0.22972738478 Short EC CORP US N 1 N N N Allscripts Healthcare Solutions Inc Y68YJHVB1GU4TAU3C223 01988P108 -1463.00000000 NS USD -16063.74000000 -0.17332342224 Short EC CORP US N 1 N N N Lannett Co Inc 5299001DJ6C90XX17G45 516012101 -353.00000000 NS USD -3953.60000000 -0.04265827772 Short EC CORP US N 1 N N N PDL BIOPHARMA INC FE4K0NQFI4D86DSOL165 69329YAJ3 85000.00000000 PA USD 79102.36000000 0.853493130677 Long DBT CORP US N 2 2024-12-01 Fixed 2.75000000 N N N N Y PDL BioPharma Inc USD XXXX N N N Pluralsight Inc 254900B3VHPCKNREOX50 72941B106 -554.00000000 NS USD -9304.43000000 -0.10039229031 Short EC CORP US N 1 N N N iShares 7-10 Year Treasury Bond ETF 549300XS1PPZG92M8L16 464287440 -751.00000000 NS USD -84464.97000000 -0.91135424629 Short EC RF US N 1 N N N Canopy Growth Corp 529900CSD7NH1UBC9X07 000000000 -1291.00000000 NS -29574.56000000 -0.31910152621 Short EC CORP CA N 1 N N N Etsy Inc 54930089Q7XT501AEA40 29786A106 -256.00000000 NS USD -14464.00000000 -0.15606265909 Short EC CORP US N 1 N N N PROS Holdings Inc 549300LPE1KNL5RWKQ48 74346Y103 -585.00000000 NS USD -34866.00000000 -0.37619473672 Short EC CORP US N 1 N N N Marriott Vacations Worldwide Corp 549300WA6BT5H4F7IO94 57164Y107 -357.00000000 NS USD -36988.77000000 -0.39909885251 Short EC CORP US N 1 N N N Innoviva Inc 549300ACOX4QTBES6535 45781M101 -1367.00000000 NS USD -14408.18000000 -0.15546037634 Short EC CORP US N 1 N N N Atlas Air Worldwide Holdings Inc 549300R0A2TUVCYZB465 049164BJ4 124000.00000000 PA USD 102687.50000000 1.107970430420 Long DBT CORP US N 2 2024-06-01 Fixed 1.88000000 N N N N Y Atlas Air Worldwide Holdings I USD XXXX N N N Element Fleet Management Corp 5493000PGBS1C22ELQ16 286181AB8 43000.00000000 PA 32619.44000000 0.351954960213 Long DBT CORP CA N 2 2020-06-30 Fixed 4.25000000 N N N N N Element Fleet Management Corp CAD XXXX N N N Herbalife Nutrition Ltd 549300BA7TYPBSZZIA41 42703MAD5 121000.00000000 PA USD 112866.97000000 1.217804166341 Long DBT CORP KY N 2 2024-03-15 Fixed 2.63000000 N N N N Y Herbalife Nutrition Ltd USD XXXX N N N Canopy Growth Corp 529900CSD7NH1UBC9X07 138035AA8 186000.00000000 PA 134602.03000000 1.452319601846 Long DBT CORP CA Y 2 2023-07-15 Fixed 4.25000000 N N N N Y Canopy Growth Corp CAD XXXX N N N CONMED Corp Z6C0YCECH9DCU5ZIQW84 207410101 -278.00000000 NS USD -26729.70000000 -0.28840625406 Short EC CORP US N 1 N N N CB SOLAZYME INC 10/19 FIXED 5 N/A 831ESC413 216000.00000000 PA USD 4320.00000000 0.046611634906 Long DBT CORP US N 2 2019-10-01 Fixed 5.00000000 N N N N N N Ligand Pharmaceuticals Inc 5493008K7TB0IKP37H79 53220K504 -174.00000000 NS USD -17319.96000000 -0.18687769724 Short EC CORP US N 1 N N N OTA LLC 5493005E2C5WY15S7E91 000000000 4.00000000 NC USD 20.00000000 0.000215794606 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Nutanix, Inc. Class A Nutanix, Inc. Class A 100.00000000 37.50000000 USD 2019-10-18 XXXX -294.23000000 N N N Microchip Technology Inc 5493007PTFULNYZJ1R12 595017AF1 115000.00000000 PA USD 148041.08000000 1.597323326865 Long DBT CORP US N 2 2027-02-15 Fixed 1.63000000 N N N N Y Microchip Technology Inc USD XXXX N N N AKAMAI TECHNOLOGIES INC OC1LZNN2LF5WTJ5RIL89 00971TAK7 46000.00000000 PA USD 46892.33000000 0.505955593947 Long DBT CORP US N 2 2027-09-01 Fixed 0.38000000 N N N N Y Akamai Technologies Inc USD XXXX N N N Nuance Communications Inc AEMSOT3SS15TNMJCE605 67020Y100 -1657.00000000 NS USD -27025.67000000 -0.29159969053 Short EC CORP US N 1 N N N CSG Systems International Inc 549300D7FJZUOHHXUA81 126349109 -791.00000000 NS USD -40878.88000000 -0.44107209026 Short EC CORP US N 1 N N N II VI INC 549300O5C25A0MMHHU33 902104AB4 100000.00000000 PA USD 103215.40000000 1.113666329047 Long DBT CORP US N 2 2022-09-01 Fixed 0.25000000 N N N N N II-VI Inc USD XXXX N N N TEAM INC 549300DEKHQ3OEQJWU96 878155AE0 115000.00000000 PA USD 127081.98000000 1.371180290485 Long DBT CORP US N 2 2023-08-01 Fixed 5.00000000 N N N N Y Team Inc USD XXXX N N N Pacira BioSciences Inc N/A 695127100 -900.00000000 NS USD -34263.00000000 -0.36968852934 Short EC CORP US N 1 N N N Zynga Inc N/A 98986T108 -4042.00000000 NS USD -23524.44000000 -0.25382236311 Short EC CORP US N 1 N N N HESKA CORP 529900O1OR2EB7L0HY27 42805EAA6 32000.00000000 PA USD 35151.25000000 0.379272507289 Long DBT CORP US N 2 2026-09-15 Fixed 3.75000000 N N N N N Heska Corp USD XXXX N N N RAPID7 INC 549300GNVG5D60KEYN14 753422AB0 104000.00000000 PA USD 134785.94000000 1.454303941145 Long DBT CORP US N 2 2023-08-01 Fixed 1.25000000 N N N N Y Rapid7 Inc USD XXXX N N N Intercept Pharmaceuticals Inc N/A 45845PAB4 114000.00000000 PA USD 102457.50000000 1.105488792450 Long DBT CORP US N 2 2026-05-15 Fixed 2.00000000 N N N N Y Intercept Pharmaceuticals Inc USD XXXX N N N Kaman Corp 5493003YK076OLTEQF95 483548103 -312.00000000 NS USD -18551.52000000 -0.20016589749 Short EC CORP US N 1 N N N Cowen Inc 5493008QI0EFC5WBED75 223622AE1 60000.00000000 PA USD 65577.53000000 0.707563862592 Long DBT CORP US N 2 2022-12-15 Fixed 3.00000000 N N N N N Cowen Inc USD XXXX N N N Aurora Cannabis Inc 549300F6VHCLKCUWDT34 05156XAF5 165000.00000000 PA USD 141075.00000000 1.522161202401 Long DBT CORP CA Y 2 2024-02-28 Fixed 5.50000000 N N N N N Aurora Cannabis Inc USD XXXX N N N Insmed Inc 529900Q55QAG41CCAC11 457669307 -685.00000000 NS USD -12083.40000000 -0.13037662713 Short EC CORP US N 1 N N N PRA Group Inc 549300Q5HW3JSSB86K27 69354N106 -1519.00000000 NS USD -51327.01000000 -0.55380459512 Short EC CORP US N 1 N N N First Majestic Silver Corp 529900PWCU5DUH1DYR51 32076V103 -8347.00000000 NS USD -75874.23000000 -0.81866247859 Short EC CORP CA N 1 N N N Live Nation Entertainment Inc 5493007B9BM9ZXJINO78 538034109 -1502.00000000 NS USD -99642.68000000 -1.07511764380 Short EC CORP US N 1 N N N Allscripts Healthcare Solutions Inc Y68YJHVB1GU4TAU3C223 01988PAD0 233000.00000000 PA USD 230965.08000000 2.492050922455 Long DBT CORP US N 2 2020-07-01 Fixed 1.25000000 N N N N Y Allscripts Healthcare Solution USD XXXX N N N Innovative Industrial Properties Inc 5493008BQ0545EZXRR30 45781V101 -1445.00000000 NS USD -133474.65000000 -1.44015547569 Short EC US N 1 N N N ENPHASE ENERGY INC 5493008U7KIGMI59Z314 29355AAC1 50000.00000000 PA USD 66722.91000000 0.719922203886 Long DBT CORP US N 2 2024-06-01 Fixed 1.00000000 N N N N Y Enphase Energy Inc USD XXXX N N N OTA LLC 5493005E2C5WY15S7E91 000000000 8.00000000 NC USD 200.00000000 0.002157946060 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Nutanix, Inc. Class A Nutanix, Inc. Class A 100.00000000 30.00000000 USD 2019-10-18 XXXX -228.44000000 N N N Tabula Rasa HealthCare Inc 549300K6KY242XRMEF28 873379101 -952.00000000 NS USD -52302.88000000 -0.56433396923 Short EC CORP US N 1 N N N HOPE BANCORP INC 549300UTF4QGMBHIZ219 43940TAB5 142000.00000000 PA USD 131172.50000000 1.415315898082 Long DBT CORP US N 2 2038-05-15 Fixed 2.00000000 N N N N Y Hope Bancorp Inc USD XXXX N N N Karyopharm Therapeutics Inc 549300J1VANRCNTYST87 48576U106 -4104.00000000 NS USD -39480.48000000 -0.42598373140 Short EC CORP US N 1 N N N First Majestic Silver Corp 529900PWCU5DUH1DYR51 32076VAB9 107000.00000000 PA USD 124430.30000000 1.342569378437 Long DBT CORP CA N 2 2023-03-01 Fixed 1.88000000 N N N N N First Majestic Silver Corp USD XXXX N N N Invitation Homes Inc N/A 46187W107 -2285.00000000 NS USD -67658.85000000 -0.73002074406 Short EC US N 1 N N N AIR TRANSPORT SERVICES G 5493000F3MSFGIXTQE27 00922RAB1 115000.00000000 PA USD 107144.75000000 1.156062955810 Long DBT CORP US N 2 2024-10-15 Fixed 1.13000000 N N N N N Air Transport Services Group I USD XXXX N N N Ionis Pharmaceuticals Inc 549300SI4ZGLG0BLUZ92 464337AJ3 87000.00000000 PA USD 99220.88000000 1.070566535559 Long DBT CORP US N 2 2021-11-15 Fixed 1.00000000 N N N N Y Ionis Pharmaceuticals Inc USD XXXX N N N Liberty Media Corp 549300ZKUTPIBZLWLL89 531229AH5 160000.00000000 PA USD 182778.91000000 1.972135143853 Long DBT CORP US N 2 2048-12-01 Fixed 2.25000000 N N N N N Live Nation Entertainment Inc USD XXXX N N N ZILLOW INC 2549002XEELQDIR6FU05 98954MAB7 71000.00000000 PA USD 70378.75000000 0.759367731515 Long DBT CORP US N 2 2021-12-01 Fixed 2.00000000 N N N N Y Zillow Group Inc USD XXXX N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 000000000 1.00000000 NC 57.71000000 0.000622675335 N/A DFE US N 2 State Street Bank and Trust Company 571474TGEMMWANRLN572 202000.00000000 CAD 152727.16000000 USD 2019-12-19 57.71000000 N N N OSI Systems Inc DDX3MPX1Y8YD30050X33 671044105 -511.00000000 NS USD -51897.16000000 -0.55995635985 Short EC CORP US N 1 N N N Cowen and Company, LLC 549300WR155U7DVMIW58 000000000 17.00000000 NC USD 255.00000000 0.002751381227 N/A DE US N 1 Cowen and Company, LLC 549300WR155U7DVMIW58 Call Purchased Vishay Intertechnology Inc Vishay Intertechnology Inc 100.00000000 20.00000000 USD 2019-12-20 XXXX -689.44000000 N N N PALO ALTO NETWORKS 549300QXR2YVZV231H43 697435AD7 23000.00000000 PA USD 24185.46000000 0.260954590637 Long DBT CORP US N 2 2023-07-01 Fixed 0.75000000 N N N N Y Palo Alto Networks Inc USD XXXX N N N Verint Systems Inc 549300KEQJS5FRVUCO94 92343X100 -22.00000000 NS USD -941.16000000 -0.01015486257 Short EC CORP US N 1 N N N Restoration Hardware Holdings, Inc. 5493008MTS3OGGMHGK69 74967X103 -149.00000000 NS USD -25453.67000000 -0.27463823450 Short EC CORP US N 1 N N N GREEN PLAINS INC VJ5WLTHARBSDR14KIZ98 393222AH7 43000.00000000 PA USD 40069.26000000 0.432336508813 Long DBT CORP US N 2 2024-07-01 Fixed 4.00000000 N N N N Y Green Plains Inc USD XXXX N N N ENCORE CAPITAL GROUP INC 5493000UVC6H49CIH830 292554AL6 78000.00000000 PA USD 81155.80000000 0.875649194469 Long DBT CORP US N 2 2025-10-01 Fixed 3.25000000 N N N N Y Encore Capital Group Inc USD XXXX N N N Redwood Trust Inc DRBV4N1ERQLEMIF11G78 758075AC9 130000.00000000 PA USD 129222.93000000 1.394280563576 Long DBT US N 2 2023-08-15 Fixed 4.75000000 N N N N N Redwood Trust Inc USD XXXX N N N Patrick Industries Inc 549300FZ5ZTCCJ3Z5W14 703343AB9 101000.00000000 PA USD 91105.61000000 0.983004960929 Long DBT CORP US N 2 2023-02-01 Fixed 1.00000000 N N N N N Patrick Industries Inc USD XXXX N N N PRA Group Inc 549300Q5HW3JSSB86K27 73640QAB1 112000.00000000 PA USD 110957.15000000 1.197197723615 Long DBT CORP US N 2 2020-08-01 Fixed 3.00000000 N N N N Y PRA Group Inc USD XXXX N N N OTA LLC 5493005E2C5WY15S7E91 000000000 4.00000000 NC USD 52.00000000 0.000561065975 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Boingo Wireless Inc Boingo Wireless Inc 100.00000000 21.00000000 USD 2019-11-15 XXXX -794.54000000 N N N ETFMG ALTERNATIVE HARVEST ETF 5493003O7BRWBH63XT11 26924G508 -256.00000000 NS USD -5314.56000000 -0.05734266907 Short EC RF US N 1 N N N Aphria Inc 52990092S6BM5E48CI11 03765K104 -4760.00000000 NS USD -24704.40000000 -0.26655381328 Short EC CORP CA N 1 N N N TABULA RASA HLTHCR INC 549300K6KY242XRMEF28 873379AB7 89000.00000000 PA USD 96382.39000000 1.039939993993 Long DBT CORP US N 2 2026-02-15 Fixed 1.75000000 N N N N Y Tabula Rasa HealthCare Inc USD XXXX N N N NRG Energy Inc 5E2UPK5SW04M13XY7I38 629377508 -686.00000000 NS USD -27165.60000000 -0.29310949750 Short EC CORP US N 1 N N N Teekay Corp YHKQM2RIPKZYOZ6RVZ46 87900YAE3 14000.00000000 PA USD 11307.55000000 0.122005414880 Long DBT CORP MH N 2 2023-01-15 Fixed 5.00000000 N N N N N Teekay Corp USD XXXX N N N LIGAND PHARMACEUTICALS I 5493008K7TB0IKP37H79 53220KAF5 133000.00000000 PA USD 110849.07000000 1.196031569563 Long DBT CORP US N 2 2023-05-15 Fixed 0.75000000 N N N N Y Ligand Pharmaceuticals Inc USD XXXX N N N Redwood Trust Inc DRBV4N1ERQLEMIF11G78 758075402 -2322.00000000 NS USD -38104.02000000 -0.41113209923 Short EC US N 1 N N N Arconic Inc 549300HO5WFZUT5N2T22 74973WAB3 84000.00000000 PA USD 83864.11000000 0.904871128944 Long DBT CORP US N 2 2019-10-15 Fixed 1.63000000 N N N N Y Arconic Inc USD XXXX N N N Innoviva Inc 549300ACOX4QTBES6535 88338TAB0 67000.00000000 PA USD 62896.25000000 0.678633574527 Long DBT CORP US N 2 2023-01-15 Fixed 2.13000000 N N N N N Innoviva Inc USD XXXX N N N Verint Systems Inc 549300KEQJS5FRVUCO94 92343XAA8 4000.00000000 PA USD 4021.78000000 0.043393921535 Long DBT CORP US N 2 2021-06-01 Fixed 1.50000000 N N N N Y Verint Systems Inc USD XXXX N N N Alder Biopharmaceuticals Inc 529900946SFXHRCYLD85 014339AA3 78000.00000000 PA USD 86336.25000000 0.931544852814 Long DBT CORP US N 2 2025-02-01 Fixed 2.50000000 N N N N Y Alder Biopharmaceuticals Inc USD XXXX N N N Qudian Inc 549300MY8WXPOW8RKH11 747798106 -56.00000000 NS USD -385.84000000 -0.00416310953 Short EC CORP KY N 1 N N N BROADCOM INC 549300WV6GIDOZJTV909 11135F200 21.00000000 NS USD 21533.10000000 0.232336341573 Long EP CORP US N 1 N N N CSG Systems International Inc 549300D7FJZUOHHXUA81 126349AF6 116000.00000000 PA USD 131135.20000000 1.414913441141 Long DBT CORP US N 2 2036-03-15 Fixed 4.25000000 N N N N Y CSG Systems International Inc USD XXXX N N N ALTAIR ENGINEERING INC 549300FJ89HZ6GU9S994 021369AA1 46000.00000000 PA USD 46309.71000000 0.499669281279 Long DBT CORP US N 2 2024-06-01 Fixed 0.25000000 N N N N Y Altair Engineering Inc USD XXXX N N N Cemex SAB de CV 549300RIG2CXWN6IV731 151290BR3 328000.00000000 PA USD 327387.10000000 3.532418513461 Long DBT CORP MX N 2 2020-03-15 Fixed 3.72000000 N N N N N Cemex SAB de CV USD XXXX N N N OTA LLC 5493005E2C5WY15S7E91 000000000 11.00000000 NC USD 1045.00000000 0.011275268165 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Infinera Corp Infinera Corp 100.00000000 4.00000000 USD 2019-10-18 XXXX 736.45000000 N N N Team Inc 549300DEKHQ3OEQJWU96 878155100 -3691.00000000 NS USD -66622.55000000 -0.71883934655 Short EC CORP US N 1 N N N Liberty Interactive LLC 549300SZUIU7Z32Q0664 530715AG6 160349.39000000 PA USD 115451.56000000 1.245691195383 Long DBT CORP US N 2 2029-11-15 Fixed 4.00000000 N N N N N Liberty Interactive LLC USD XXXX N N N Inphi Corp 549300DCMERAAZFGT726 45772F107 -939.00000000 NS USD -57325.95000000 -0.61853153982 Short EC CORP US N 1 N N N COUPA SOFTWARE INC 549300Q95ICR2GFL2K37 22266LAD8 82000.00000000 PA USD 89687.50000000 0.967703936490 Long DBT CORP US N 2 2025-06-15 Fixed 0.13000000 N N N N Y Coupa Software Inc USD XXXX N N N PERFICIENT INC 549300HTBXKL2755T650 71375UAB7 110000.00000000 PA USD 131261.62000000 1.416277478846 Long DBT CORP US N 2 2023-09-15 Fixed 2.38000000 N N N N Y Perficient Inc USD XXXX N N N EZCORP Inc 5493003K6PG3ZQ7TUQ63 302301106 -3534.00000000 NS USD -22811.97000000 -0.24613500396 Short EC CORP US N 1 N N N Marriott Vacations Worldwide Corp 549300WA6BT5H4F7IO94 57164YAB3 133000.00000000 PA USD 133328.90000000 1.438582872506 Long DBT CORP US N 2 2022-09-15 Fixed 1.50000000 N N N N N Marriott Vacations Worldwide C USD XXXX N N N Element Fleet Management Corp 5493000PGBS1C22ELQ16 000000000 -4153.00000000 NS -33227.76000000 -0.35851856895 Short EC CORP CA N 1 N N N PROS Holdings Inc 549300LPE1KNL5RWKQ48 74346YAE3 55000.00000000 PA USD 62233.42000000 0.671481817591 Long DBT CORP US N 2 2024-05-15 Fixed 1.00000000 N N N N Y PROS HOLDINGS INC USD XXXX N N N Palo Alto Networks Inc 549300QXR2YVZV231H43 697435105 -46.00000000 NS USD -9376.18000000 -0.10116645346 Short EC CORP US N 1 N N N PRA Group Inc 549300Q5HW3JSSB86K27 69354NAB2 106000.00000000 PA USD 107382.35000000 1.158626595730 Long DBT CORP US N 2 2023-06-01 Fixed 3.50000000 N N N N Y PRA Group Inc USD XXXX N N N LANNETT CO INC 5299001DJ6C90XX17G45 51602UAB4 7000.00000000 PA USD 6974.80000000 0.075256210912 Long DBT CORP US N 2 2026-10-01 Fixed 4.50000000 N N N N N Lannett Co Inc USD XXXX N N N Hope Bancorp Inc 549300UTF4QGMBHIZ219 43940T109 -1049.00000000 NS USD -15042.66000000 -0.16230624442 Short EC CORP US N 1 N N N Perficient Inc 549300HTBXKL2755T650 71375U101 -2231.00000000 NS USD -86071.98000000 -0.92869345078 Short EC CORP US N 1 N N N Pacira BioSciences Inc N/A 695127AD2 142000.00000000 PA USD 139652.80000000 1.506816047965 Long DBT CORP US N 2 2022-04-01 Fixed 2.38000000 N N N N Y Pacira Pharmaceuticals Inc/DE USD XXXX N N N Coupa Software Inc 549300Q95ICR2GFL2K37 22266L106 -356.00000000 NS USD -46126.92000000 -0.49769702647 Short EC CORP US N 1 N N N Knowles Corp 5493003EO323TDZQU148 49926DAB5 129000.00000000 PA USD 165256.35000000 1.783071447247 Long DBT CORP US N 2 2021-11-01 Fixed 3.25000000 N N N N Y Knowles Corp USD XXXX N N N OSI Systems Inc DDX3MPX1Y8YD30050X33 671044AD7 76000.00000000 PA USD 85009.71000000 0.917231843979 Long DBT CORP US N 2 2022-09-01 Fixed 1.25000000 N N N N Y OSI Systems Inc USD XXXX N N N PDL BioPharma Inc FE4K0NQFI4D86DSOL165 69329Y104 -12198.00000000 NS USD -26347.68000000 -0.28428436129 Short EC CORP US N 1 N N N ZYNGA INC N/A 98986TAA6 56000.00000000 PA USD 55741.07000000 0.601431112063 Long DBT CORP US N 2 2024-06-01 Fixed 0.25000000 N N N N Y Zynga Inc USD XXXX N N N DexCom Inc 549300YSK3QDSFR5EU59 252131AG2 36000.00000000 PA USD 42199.99000000 0.455326510860 Long DBT CORP US N 2 2023-12-01 Fixed 0.75000000 N N N N Y DexCom Inc USD XXXX N N N TTM TECHNOLOGIES INC 549300SC4BDOIS008048 87305RAD1 57000.00000000 PA USD 75998.57000000 0.820004073662 Long DBT CORP US N 2 2020-12-15 Fixed 1.75000000 N N N N Y TTM Technologies Inc USD XXXX N N N Neurocrine Biosciences Inc 549300FECER0XBN49756 64125CAD1 100000.00000000 PA USD 136921.07000000 1.477341418006 Long DBT CORP US N 2 2024-05-15 Fixed 2.25000000 N N N N Y Neurocrine Biosciences Inc USD XXXX N N N Redfin Corp 549300HXWD3JEMZU3O57 75737FAA6 102000.00000000 PA USD 93561.86000000 1.009507235984 Long DBT CORP US N 2 2023-07-15 Fixed 1.75000000 N N N N Y Redfin Corp USD XXXX N N N Element Fleet Management Corp 5493000PGBS1C22ELQ16 286181AC6 91000.00000000 PA 76903.36000000 0.829766513742 Long DBT CORP CA N 2 2024-06-30 Fixed 4.25000000 N N N N N Element Fleet Management Corp CAD XXXX N N N LIBERTY LATIN AMERICA 213800YWQHEAX7CAVO83 53069QAA7 75000.00000000 PA USD 74897.52000000 0.808124041113 Long DBT CORP BM N 2 2024-07-15 Fixed 2.00000000 N N N N Y Liberty Latin America Ltd USD XXXX N N N Liberty Interactive LLC 549300SZUIU7Z32Q0664 530715AL5 35809.52000000 PA USD 25380.00000000 0.273843355073 Long DBT CORP US N 2 2030-02-15 Fixed 3.75000000 N N N N N Liberty Interactive LLC USD XXXX N N N Neurocrine Biosciences Inc 549300FECER0XBN49756 64125C109 -967.00000000 NS USD -87136.37000000 -0.94017793182 Short EC CORP US N 1 N N N Intercept Pharmaceuticals Inc N/A 45845P108 -780.00000000 NS USD -51760.80000000 -0.55848507223 Short EC CORP US N 1 N N N PAR Technology Corp 549300HYPTHBJQINVG57 698884AA1 43000.00000000 PA USD 47409.86000000 0.511539603071 Long DBT CORP US N 2 2024-04-15 Fixed 4.50000000 N N N N Y PAR TECHNOLOGY CORP/DEL USD XXXX N N N NRG Energy Inc 5E2UPK5SW04M13XY7I38 629377CG5 56000.00000000 PA USD 62935.96000000 0.679062034718 Long DBT CORP US N 2 2048-06-01 Fixed 2.75000000 N N N N Y NRG Energy Inc USD XXXX N N N II-VI Inc 549300O5C25A0MMHHU33 902104108 -1268.00000000 NS USD -44646.28000000 -0.48172132020 Short EC CORP US N 1 N N N Cowen and Company, LLC 549300WR155U7DVMIW58 000000000 9.00000000 NC USD 585.00000000 0.006311992226 N/A DE US N 1 Cowen and Company, LLC 549300WR155U7DVMIW58 Call Purchased Team Inc Team Inc 100.00000000 20.00000000 USD 2019-12-20 XXXX 106.09000000 N N N Wright Medical Group NV 549300JGCCQ1HTDOXU32 000000000 -3442.00000000 NS USD -71008.46000000 -0.76616213258 Short EC CORP NL N 1 N N N IRONWOOD PHARMACEUTICALS 549300PC8MR6QHH6P296 46333XAG3 53000.00000000 PA USD 48511.28000000 0.523423627820 Long DBT CORP US N 2 2026-06-15 Fixed 1.50000000 N N N N Y Ironwood Pharmaceuticals Inc USD XXXX N N N ETSY INC 54930089Q7XT501AEA40 29786AAH9 36000.00000000 PA USD 35378.64000000 0.381725984063 Long DBT CORP US N 2 2026-10-01 Fixed 0.13000000 N N N N Y Etsy Inc USD XXXX N N N RWT Holdings Inc Z31FN4C0IQMCYFAEUP31 749772AB5 112000.00000000 PA USD 112133.87000000 1.209894215056 Long DBT CORP US N 2 2019-11-15 Fixed 5.63000000 N N N N N Redwood Trust Inc USD XXXX N N N IIP Operating Partnership LP N/A 44988FAA8 123000.00000000 PA USD 178396.88000000 1.924854221976 Long DBT US N 2 2024-02-21 Fixed 3.75000000 N N N N N Innovative Industrial Properti USD XXXX N N N Okta Inc 549300N8J06I8MRHU620 679295105 -1041.00000000 NS USD -102496.86000000 -1.10591347623 Short EC CORP US N 1 N N N CONMED Corp Z6C0YCECH9DCU5ZIQW84 207410AE1 35000.00000000 PA USD 43315.99000000 0.467367849878 Long DBT CORP US N 2 2024-02-01 Fixed 2.63000000 N N N N Y CONMED Corp USD XXXX N N N KBR Inc 254900OFQDXZRKRCV808 48242WAA4 107000.00000000 PA USD 123792.58000000 1.335688551629 Long DBT CORP US N 2 2023-11-01 Fixed 2.50000000 N N N N Y KBR Inc USD XXXX N N N TWITTER INC 549300I8RX485XMK6836 90184LAF9 36000.00000000 PA USD 38101.44000000 0.411104261730 Long DBT CORP US N 2 2024-06-15 Fixed 0.25000000 N N N N Y Twitter Inc USD XXXX N N N Ironwood Pharmaceuticals Inc N/A 46333XAD0 92000.00000000 PA USD 91712.50000000 0.989553140352 Long DBT CORP US N 2 2022-06-15 Fixed 2.25000000 N N N N Y Ironwood Pharmaceuticals Inc USD XXXX N N N Cowen Inc 5493008QI0EFC5WBED75 223622606 -2608.00000000 NS USD -40137.12000000 -0.43306869991 Short EC CORP US N 1 N N N OTA LLC 5493005E2C5WY15S7E91 000000000 4.00000000 NC USD 280.00000000 0.003021124484 N/A DE US N 1 OTA LLC 5493005E2C5WY15S7E91 Call Purchased Greenbrier Cos Inc/The Greenbrier Cos Inc/The 100.00000000 35.00000000 USD 2019-11-15 XXXX -54.42000000 N N N Silicon Laboratories Inc 4PRDF8Q9TDHRVZKZSZ47 826919AB8 63000.00000000 PA USD 81945.18000000 0.884166391775 Long DBT CORP US N 2 2022-03-01 Fixed 1.38000000 N N N N Y Silicon Laboratories Inc USD XXXX N N N INPHI CORP 549300DCMERAAZFGT726 45772FAC1 75000.00000000 PA USD 93073.41000000 1.004236992218 Long DBT CORP US N 2 2021-09-01 Fixed 0.75000000 N N N N N Inphi Corp USD XXXX N N N SailPoint Technologies Holding Inc 529900809B15HNZH5H79 78781P105 -827.00000000 NS USD -15456.63000000 -0.16677286908 Short EC CORP US N 1 N N N Evolent Health Inc 549300CZOCFHQ2BBTR11 30050B101 -1344.00000000 NS USD -9663.36000000 -0.10426504821 Short EC CORP US N 1 N N N Ionis Pharmaceuticals Inc 549300SI4ZGLG0BLUZ92 462222100 -792.00000000 NS USD -47448.72000000 -0.51195889199 Short EC CORP US N 1 N N N WRIGHT MEDICAL GROUP INC 549300DZPB0KY882P769 98235TAG2 70000.00000000 PA USD 66744.48000000 0.720154938369 Long DBT CORP US N 2 2023-06-15 Fixed 1.63000000 N N N N Y Wright Medical Group NV USD XXXX N N N Encore Capital Group Inc 5493000UVC6H49CIH830 292554AK8 204000.00000000 PA USD 206285.82000000 2.225768362994 Long DBT CORP US N 2 2022-03-15 Fixed 3.25000000 N N N N Y Encore Capital Group Inc USD XXXX N N N Benefitfocus Inc 254900W89KP1OS3RXO89 08180DAA4 53000.00000000 PA USD 45751.40000000 0.493645266953 Long DBT CORP US N 2 2023-12-15 Fixed 1.25000000 N N N N Y Benefitfocus Inc USD XXXX N N N TTM Technologies Inc 549300SC4BDOIS008048 87305R109 -4717.00000000 NS USD -57523.82000000 -0.62066650375 Short EC CORP US N 1 N N N OKTA INC 549300N8J06I8MRHU620 679295AC9 36000.00000000 PA USD 32594.70000000 0.351688022285 Long DBT CORP US N 2 2025-09-01 Fixed 0.13000000 N N N N Y Okta Inc USD XXXX N N N Nutanix Inc 549300X7J6E8TKVIXW09 67059NAB4 92000.00000000 PA USD 85847.50000000 0.926271372129 Long DBT CORP US N 2 2023-01-15 None 0.00000000 N N N N Y Nutanix Inc USD XXXX N N N OKTA INC 549300N8J06I8MRHU620 679295AB1 45000.00000000 PA USD 94599.00000000 1.020697696870 Long DBT CORP US N 2 2023-02-15 Fixed 0.25000000 N N N N Y Okta Inc USD XXXX N N N Microchip Technology Inc 5493007PTFULNYZJ1R12 595017104 -1329.00000000 NS USD -123477.39000000 -1.33228773653 Short EC CORP US N 1 N N N KBR Inc 254900OFQDXZRKRCV808 48242W106 -2985.00000000 NS USD -73251.90000000 -0.79036824513 Short EC CORP US N 1 N N N Evolent Health Inc 549300CZOCFHQ2BBTR11 30050BAC5 71000.00000000 PA USD 45617.50000000 0.492200522066 Long DBT CORP US N 2 2025-10-15 Fixed 1.50000000 N N N N Y Evolent Health Inc USD XXXX N N N Rapid7 Inc 549300GNVG5D60KEYN14 753422104 -1937.00000000 NS USD -87920.43000000 -0.94863772776 Short EC CORP US N 1 N N N SAILPOINT TECH HOLDINGS 529900809B15HNZH5H79 78781PAA3 36000.00000000 PA USD 34209.04000000 0.369106315501 Long DBT CORP US N 2 2024-09-15 Fixed 0.13000000 N N N N Y SailPoint Technologies Holding Inc USD XXXX N N N Ironwood Pharmaceuticals Inc N/A 46333X108 -5452.00000000 NS USD -46805.42000000 -0.50501785848 Short EC CORP US N 1 N N N Teekay Corp YHKQM2RIPKZYOZ6RVZ46 000000000 -568.00000000 NS USD -2272.00000000 -0.02451426724 Short EC CORP MH N 1 N N N Kaman Corp 5493003YK076OLTEQF95 483548AF0 45000.00000000 PA USD 51335.77000000 0.553899113162 Long DBT CORP US N 2 2024-05-01 Fixed 3.25000000 N N N N Y Kaman Corp USD XXXX N N N Knowles Corp 5493003EO323TDZQU148 49926D109 -5063.00000000 NS USD -102981.42000000 -1.11114174795 Short EC CORP US N 1 N N N Tilray Inc 549300Y4V60733TO1478 88688TAA8 198000.00000000 PA USD 128328.75000000 1.384632602535 Long DBT CORP US N 2 2023-10-01 Fixed 5.00000000 N N N N Y Tilray Inc USD XXXX N N N Pluralsight Inc 254900B3VHPCKNREOX50 72941BAA4 80000.00000000 PA USD 68597.30000000 0.740146366467 Long DBT CORP US Y 2 2024-03-01 Fixed 0.38000000 N N N N Y Pluralsight Inc USD XXXX N N N Nutanix Inc 549300X7J6E8TKVIXW09 67059N108 -976.00000000 NS USD -25620.00000000 -0.27643289034 Short EC CORP US N 1 N N N Vishay Intertechnology Inc 5493009O8F3QQJTCQR75 928298108 -1427.00000000 NS USD -24159.11000000 -0.26067028124 Short EC CORP US N 1 N N N Herbalife Nutrition Ltd 549300BA7TYPBSZZIA41 000000000 -927.00000000 NS USD -35096.22000000 -0.37867874843 Short EC CORP KY N 1 N N N Aurora Cannabis Inc 549300F6VHCLKCUWDT34 05156X108 -9589.00000000 NS USD -42095.71000000 -0.45420135778 Short EC CORP CA N 1 N N N Benefitfocus Inc 254900W89KP1OS3RXO89 08180D106 -477.00000000 NS USD -11357.37000000 -0.12254295924 Short EC CORP US N 1 N N N EZCORP Inc 5493003K6PG3ZQ7TUQ63 302301AE6 104000.00000000 PA USD 82425.20000000 0.889345678115 Long DBT CORP US N 2 2025-05-01 Fixed 2.38000000 N N N N Y EZCORP INC-CL A USD XXXX N N N Atlas Air Worldwide Holdings Inc 549300R0A2TUVCYZB465 049164205 -736.00000000 NS USD -18569.28000000 -0.20035752310 Short EC CORP US N 1 N N N Redfin Corp 549300HXWD3JEMZU3O57 75737F108 -1675.00000000 NS USD -28207.00000000 -0.30434592263 Short EC CORP US N 1 N N N Infinera Corp 549300ZOF66WPV3H0H17 45667G103 -913.00000000 NS USD -4975.85000000 -0.05368807952 Short EC CORP US N 1 N N N APHRIA INC 52990092S6BM5E48CI11 03765KAA2 107000.00000000 PA USD 80450.63000000 0.868040600352 Long DBT CORP CA N 2 2024-06-01 Fixed 5.25000000 N N N N Y Aphria Inc USD XXXX N N N TURNING POINT BRANDS INC 549300IYG00QF0VVP302 90041LAD7 120000.00000000 PA USD 95990.70000000 1.035713764531 Long DBT CORP US N 2 2024-07-15 Fixed 2.50000000 N N N N Y Turning Point Brands Inc USD XXXX N N N Twitter Inc 549300I8RX485XMK6836 90184L102 -371.00000000 NS USD -15285.20000000 -0.16492318561 Short EC CORP US N 1 N N N IH Merger Sub LLC N/A 19625XAB8 63000.00000000 PA USD 83683.68000000 0.902924337906 Long DBT US N 2 2022-01-15 Fixed 3.50000000 N N N N Y Invitation Homes Inc USD XXXX N N N State Street Global Advisors 549300Q3FHSMZ70NLT76 857492870 4163919.24000000 NS USD 4163919.24000000 44.92756560027 Long STIV RF US N 1 N N N PAR Technology Corp N/A 698884103 -1086.00000000 NS USD -25814.22000000 -0.27852847176 Short EC CORP US N 1 N N N Akamai Technologies Inc OC1LZNN2LF5WTJ5RIL89 00971T101 -113.00000000 NS USD -10325.94000000 -0.11141410771 Short EC CORP US N 1 N N N Nuance Communications Inc AEMSOT3SS15TNMJCE605 67020YAK6 154000.00000000 PA USD 145530.00000000 1.570229450897 Long DBT CORP US N 2 2035-12-15 Fixed 1.00000000 N N N N N Nuance Communications Inc USD XXXX N N N Ship Finance International Ltd 549300RLYYPSB0C7RH77 000000000 -3868.00000000 NS USD -54306.72000000 -0.58595486240 Short EC CORP BM N 1 N N N Turning Point Brands Inc 549300IYG00QF0VVP302 90041L105 -1262.00000000 NS USD -29101.72000000 -0.31399971013 Short EC CORP US N 1 N N N Insmed Inc N/A 457669AA7 47000.00000000 PA USD 39176.03000000 0.422698798015 Long DBT CORP US N 2 2025-01-15 Fixed 1.75000000 N N N N Y Insmed Inc USD XXXX N N N Ship Finance International Ltd 549300RLYYPSB0C7RH77 000000000 131000.00000000 PA USD 136492.72000000 1.472719637031 Long DBT CORP BM N 2 2021-10-15 Fixed 5.75000000 N N N N N Safilo Group SpA USD XXXX N N N Karyopharm Therapeutics Inc 549300J1VANRCNTYST87 48576UAB2 81000.00000000 PA USD 71578.53000000 0.772313034137 Long DBT CORP US N 2 2025-10-15 Fixed 3.00000000 N N N N Y Karyopharm Therapeutics Inc USD XXXX N N N Silicon Laboratories Inc 4PRDF8Q9TDHRVZKZSZ47 826919102 -491.00000000 NS USD -54672.85000000 -0.58990530635 Short EC CORP US N 1 N N N Alder Biopharmaceuticals Inc 529900946SFXHRCYLD85 014339105 -2612.00000000 NS USD -49262.32000000 -0.53152714686 Short EC CORP US N 1 N N N 2019-10-30 THE LAZARD FUNDS, INC. Christopher Snively Christopher Snively SVP XXXX