Jefferies Group LLC ownership in SPLK / Splunk Inc.

Splunk Inc.

US ˙ NasdaqGS ˙ US8486371045

ESTE SÍMBOLO NÃO ESTÁ MAIS ATIVO

Security	SPLK / Splunk Inc.
Institution	Jefferies Group LLC
Latest Disclosed Ownership	279,983 shares
Latest Disclosed Value	$ 21,054,722

On September 21, 2023 - Jefferies Group LLC filed a 13F-HR/A form disclosing ownership of 279,983 shares of Splunk Inc. (US:SPLK) valued at $21,054,722 USD as of September 30, 2022. The entity filed a previous 13F-HR/A on September 21, 2023 disclosing 120,030 shares of Splunk Inc.. This represents a change in shares of 133.26% during the quarter. The current value of the position is $43,929,333 USD.

Jefferies Group LLC has a history of taking positions in derivatives of the underlying security (SPLK) in the form of stock options. The firm currently holds call options representing 1,561,400 of underlying shares valued at $117,417,280 USD and put options representing 309,900 of underlying shares valued at $23,304,480 USD .

Note: prior versions of this page mistakenly stated that the share values represented the number of options, not the number of underlying shares. For more information on the data backing these reports, please see the SEC document Frequently Asked Questions About Form 13F.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Institutional Put/Call Ratios

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In addition to reporting standard equity and debt issues, institutions with more than 100MM assets under management must also disclose their put and call option holdings. Since put options generally indicate negative sentiment, and call options indicate positive sentiment, we can get a sense of the overall institutional sentiment by plotting the ratio of puts to calls. The chart to the right plots the historical put/call ratio for this instrument.

Using Put/Call Ratio as an indicator of investor sentiment overcomes one of the key deficiencies of using total institutional ownership, which is that a significant amount of assets under management are invested passively to track indices. Passively-managed funds do not typically buy options, so the put/call ratio indicator more closely tracks the sentiment of actively-managed funds.

SPLK / Splunk Inc. Historical Put/Call Ratio

Disclosed Equity Positions (from 13F/NPORT Filings)

File Date	Effective Date	Form	Security	Class	ID	Reported Shares	ΔShares	ΔShares (%)	Reported Value (x1000)	ΔValue (%)	Alloc (%)
2023-09-21	2022-09-30	13F/A-1	SPLUNK	COM	848637104	279,983	159,953	133.26	21,055	98.30	0.1762
2022-11-14	2022-09-30	13F	SPLUNK	COM	848637104	286,949	166,919		21,579		0.1718
2023-09-21	2022-06-30	13F/A-1	SPLUNK	COM	848637104	120,030	-101,090	-45.72	10,618	-67.69	0.0882
2022-08-15	2022-06-30	13F	SPLUNK	COM	848637104	120,030	-101,090		10,618		0.0828
2023-09-21	2022-03-31	13F/A-1	SPLUNK	COM	848637104	221,120	174,898	378.39	32,861	514.44	0.2066
2022-05-16	2022-03-31	13F	SPLUNK	COM	848637104	221,120	166,427		32,861		0.1916
2023-09-21	2021-12-31	13F/A-1	SPLUNK	COM	848637104	46,222	37,915	456.42	5,349	344.93	0.0314
2022-02-14	2021-12-31	13F	SPLUNK	COM	848637104	54,693	46,386		6,329		0.0340
2023-09-21	2021-09-30	13F/A-2	SPLUNK	COM	848637104	8,307	-977,996	-99.16	1,202	-99.16	0.0088
2021-12-17	2021-09-30	13F/A-1	SPLUNK	COM	848637104	8,905	-977,398		1,289		0.0089
2021-11-15	2021-09-30	13F	SPLUNK	COM	848637104	1,081,350	-886,046		156,482		1.0100
2023-09-21	2021-06-30	13F/A-2	SPLUNK	COM	848637104	986,303	982,193	23,897.64	142,600	25,547.30	0.8980
2021-08-20	2021-06-30	13F/A-1	SPLUNK	COM	848637104	1,967,396	1,963,286		284,446		1.6841
2021-08-16	2021-06-30	13F	SPLUNK	COM	848637104	1,967,396	1,963,286		284,446		1.6840
2023-09-21	2021-03-31	13F/A-1	SPLUNK	COM	848637104	4,110	-37,595	-90.15	557	-92.15	0.0049
2021-05-14	2021-03-31	13F	SPLUNK	COM	848637104	4,110	-37,595		557		0.0049
2023-09-21	2020-12-31	13F/A-1	SPLUNK	COM	848637104	41,705	32,943	375.98	7,085	329.92	0.0557
2021-02-16	2020-12-31	13F	SPLUNK	COM	848637104	41,705	32,943		7,085		0.0638
2020-11-13	2020-09-30	13F	SPLUNK	COM	848637104	8,762	8,762		1,648		0.0182
2020-11-02	2020-06-30	13F/A-1	SPLUNK	COM	848637104	0	-25,052	-100.00	0	-100.00
2020-05-15	2020-03-31	13F	SPLUNK	COM	848637104	25,052	5,490	28.06	3,162	7.92	0.0393
2020-02-13	2019-12-31	13F	SPLUNK	COM	848637104	19,562	-23,622	-54.70	2,930	-42.44	0.0227
2019-11-13	2019-09-30	13F	SPLUNK	COM	848637104	43,184	14,867	52.50	5,090	42.94	0.0395
2019-08-14	2019-06-30	13F	SPLUNK	COM	848637104	28,317	-69,395	-71.02	3,561	-70.75	0.0260
2019-05-15	2019-03-31	13F	SPLUNK	COM	848637104	97,712	95,312	3,971.33	12,175	4,731.35	0.1001
2019-02-14	2018-12-31	13F	SPLUNK	COM	848637104	2,400	-20,609	-89.57	252	-90.94	0.0021
2018-11-14	2018-09-30	13F	SPLUNK	COM	848637104	23,009	3,009	15.04	2,782	40.36	0.0182
2018-08-14	2018-06-30	13F	SPLUNK	COM	848637104	20,000	-21,811	-52.17	1,982	-51.82	0.0111
2018-05-15	2018-03-31	13F	SPLUNK	COM	848637104	41,811	9,389	28.96	4,114	53.16	0.0221
2018-02-14	2017-12-31	13F	SPLUNK	COM	848637104	32,422	24,372	302.76	2,686	402.06	0.0126
2017-11-14	2017-09-30	13F	SPLUNK	COM	848637104	8,050	8,050		535		0.0035
2016-08-12	2016-06-30	13F	SPLUNK	COM	848637104	0	-718	-100.00	0	-100.00
2016-05-11	2016-03-31	13F	SPLUNK	COM	848637104	718	718	0.00	35		0.0002
2015-02-17	2014-12-31	13F	SPLUNK	COM	848637104	0	-374	-100.00	0	-100.00
2014-11-17	2014-09-30	13F	SPLUNK	COM	848637104	374	-331	-46.95	21	-46.15	0.0001
2014-08-14	2014-06-30	13F	SPLUNK	COM	848637104	705	-12,209	-94.54	39	-95.77	0.0003
2014-05-16	2014-03-31	13F	SPLUNK	COM	848637104	12,914	8,118	169.27	923	180.55	0.0090
2014-02-18	2013-12-31	13F	SPLUNK	COM	848637104	4,796	1,010	26.68	329	44.93	0.0021
2013-11-18	2013-09-30	13F	SPLUNK	COM	848637104	3,786	-3,543	-48.34	227	-33.24	0.0022
2013-08-15	2013-06-30	13F	SPLUNK	COM	848637104	7,329	7,329		340		0.0036

Disclosed Call Options

File Date	Effective Date	Form	Security	Class	Opt	Shares	ΔShares (%)	Value (x1000)	ΔValue (%)	Cost Basis (x1000)	Profit (x1000)	Return (%)
2023-09-21	2022-09-30	13F/A	SPLUNK	COM	Call	1,561,400	-13.11	117,417	-26.14	n/a	n/a	n/a
2022-11-14	2022-09-30	13F	SPLUNK	COM	Call	3,138,000		235,978		n/a	n/a	n/a
2023-09-21	2022-06-30	13F/A	SPLUNK	COM	Call	1,797,000	43.67	158,963	-14.48	n/a	n/a	n/a
2022-08-15	2022-06-30	13F	SPLUNK	COM	Call	3,593,600		317,890		n/a	n/a	n/a
2023-09-21	2022-03-31	13F/A	SPLUNK	COM	Call	1,250,800	42.14	185,881	82.54	n/a	n/a	n/a
2022-05-16	2022-03-31	13F	SPLUNK	COM	Call	2,481,600		368,791		n/a	n/a	n/a
2023-09-21	2021-12-31	13F/A	SPLUNK	COM	Call	880,000	21.28	101,834	-3.02	n/a	n/a	n/a
2022-02-14	2021-12-31	13F	SPLUNK	COM	Call	1,625,500		188,103		n/a	n/a	n/a
2021-12-17	2021-09-30	13F/A	SPLUNK	COM	Call	1,451,200		210,003		n/a	n/a	n/a
2023-09-21	2021-09-30	13F/A	SPLUNK	COM	Call	725,600	-6.25	105,002	-6.17	n/a	n/a	n/a
2021-11-15	2021-09-30	13F	SPLUNK	COM	Call	1,451,200		210,003		n/a	n/a	n/a
2021-08-20	2021-06-30	13F/A	SPLUNK	COM	Call	774,000		111,905		n/a	n/a	n/a
2023-09-21	2021-06-30	13F/A	SPLUNK	COM	Call	774,000	45.74	111,905	55.52	n/a	n/a	n/a
2021-08-16	2021-06-30	13F	SPLUNK	COM	Call	77,400,000		111,905		n/a	n/a	n/a
2023-09-21	2021-03-31	13F/A	SPLUNK	COM	Call	531,100	269.33	71,953	194.53	n/a	n/a	n/a
2021-05-14	2021-03-31	13F	SPLUNK	COM	Call	531,100		71,953		n/a	n/a	n/a
2023-09-21	2020-12-31	13F/A	SPLUNK	COM	Call	143,800	53.63	24,430	38.74	n/a	n/a	n/a
2021-02-16	2020-12-31	13F	SPLUNK	COM	Call	143,800		24,430		n/a	n/a	n/a
2020-11-13	2020-09-30	13F	SPLUNK	COM	Call	93,600	0.00	17,609	-5.32	n/a	n/a	n/a
2020-11-02	2020-06-30	13F/A	SPLUNK	COM	Call	93,600	10.64	18,598	74.15	n/a	n/a	n/a
2020-08-14	2020-06-30	13F	SPLUNK	COM	Call	93,600		18,598		n/a	n/a	n/a
2020-05-15	2020-03-31	13F	SPLUNK	COM	Call	84,600	20.68	10,679	1.71	n/a	n/a	n/a
2020-02-13	2019-12-31	13F	SPLUNK	COM	Call	70,100	13.25	10,499	43.90	n/a	n/a	n/a
2019-11-13	2019-09-30	13F	SPLUNK	COM	Call	61,900	11.33	7,296	4.35	n/a	n/a	n/a
2019-08-14	2019-06-30	13F	SPLUNK	COM	Call	55,600	57.06	6,992	58.51	n/a	n/a	n/a
2019-05-15	2019-03-31	13F	SPLUNK	COM	Call	35,400		4,411		n/a	n/a	n/a
2016-08-12	2016-06-30	13F	SPLUNK	COM	Call	0	-100.00	0	-100.00	n/a	n/a	n/a
2016-05-11	2016-03-31	13F	SPLUNK	COM	Call	40,000		1,957		n/a	n/a	n/a

Disclosed Put Options

File Date	Effective Date	Form	Security	Class	Opt	Shares	ΔShares (%)	Value (x1000)	ΔValue (%)	Cost Basis (x1000)	Profit (x1000)	Return (%)
2023-09-21	2022-09-30	13F/A	SPLUNK	COM	Put	309,900		23,304		n/a	n/a	n/a
2022-11-14	2022-09-30	13F	SPLUNK	COM	Put	619,800		46,609		n/a	n/a	n/a
2023-09-21	2022-03-31	13F/A	SPLUNK	COM	Put	0	-100.00	0	-100.00	n/a	n/a	n/a
2022-05-16	2022-03-31	13F	SPLUNK	COM	Put	0		0		n/a	n/a	n/a
2023-09-21	2021-12-31	13F/A	SPLUNK	COM	Put	157,100	-7.91	18,180	-26.36	n/a	n/a	n/a
2022-02-14	2021-12-31	13F	SPLUNK	COM	Put	312,100		36,116		n/a	n/a	n/a
2021-12-17	2021-09-30	13F/A	SPLUNK	COM	Put	341,200		49,375		n/a	n/a	n/a
2023-09-21	2021-09-30	13F/A	SPLUNK	COM	Put	170,600	-46.00	24,688	-45.95	n/a	n/a	n/a
2021-11-15	2021-09-30	13F	SPLUNK	COM	Put	341,200		49,375		n/a	n/a	n/a
2021-08-20	2021-06-30	13F/A	SPLUNK	COM	Put	590,900		85,432		n/a	n/a	n/a
2023-09-21	2021-06-30	13F/A	SPLUNK	COM	Put	315,900	672.37	45,673	724.26	n/a	n/a	n/a
2021-08-16	2021-06-30	13F	SPLUNK	COM	Put	59,090,000		85,432		n/a	n/a	n/a
2023-09-21	2021-03-31	13F/A	SPLUNK	COM	Put	40,900	-62.85	5,541	-70.38	n/a	n/a	n/a
2021-05-14	2021-03-31	13F	SPLUNK	COM	Put	40,900		5,541		n/a	n/a	n/a
2023-09-21	2020-12-31	13F/A	SPLUNK	COM	Put	110,100	54.42	18,705	39.44	n/a	n/a	n/a
2021-02-16	2020-12-31	13F	SPLUNK	COM	Put	110,100		18,705		n/a	n/a	n/a
2020-11-13	2020-09-30	13F	SPLUNK	COM	Put	71,300	0.00	13,414	-5.32	n/a	n/a	n/a
2020-11-02	2020-06-30	13F/A	SPLUNK	COM	Put	71,300	0.00	14,167	57.41	n/a	n/a	n/a
2020-08-14	2020-06-30	13F	SPLUNK	COM	Put	71,300		14,167		n/a	n/a	n/a
2020-05-15	2020-03-31	13F	SPLUNK	COM	Put	71,300	-49.43	9,000	-57.38	n/a	n/a	n/a
2020-02-13	2019-12-31	13F	SPLUNK	COM	Put	141,000	124.17	21,118	184.88	n/a	n/a	n/a
2019-11-13	2019-09-30	13F	SPLUNK	COM	Put	62,900	0.00	7,413	-6.28	n/a	n/a	n/a
2019-08-14	2019-06-30	13F	SPLUNK	COM	Put	62,900	12.52	7,910	13.57	n/a	n/a	n/a
2019-05-15	2019-03-31	13F	SPLUNK	COM	Put	55,900		6,965		n/a	n/a	n/a
2015-05-18	2015-03-31	13F	SPLUNK	COM	Put	0	-100.00	0	-100.00	n/a	n/a	n/a
2015-02-17	2014-12-31	13F	SPLUNK	COM	Put	9,800	0.00	578	6.45	n/a	n/a	n/a
2014-11-17	2014-09-30	13F	SPLUNK	COM	Put	9,800	0.00	543	0.18	n/a	n/a	n/a
2014-08-14	2014-06-30	13F	SPLUNK	COM	Put	9,800	-44.94	542	-57.42	n/a	n/a	n/a
2014-05-16	2014-03-31	13F	SPLUNK	COM	Put	17,800		1,273		n/a	n/a	n/a

Legend

Shares: The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value: The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price: The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class: This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred

Allocation (%): The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation: The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%): The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis: The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss: This is the market value of the position as of the effective date minus the cost basis.