AEGON USA Investment Management, LLC — 13F Holdings & Portfolio
CIK 1454937 · latest 13F-HR filed 2026-07-17
AEGON USA Investment Management, LLC manages $139.7M in 13F-reported U.S. long-equity assets across 42 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are VTI (72.82%), WW (2.63%), WFCPL (2.39%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 4 new positions and exited 3; 6 existing positions rose in reported value and 5 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$139.7M
Long-equity book
Holdings
42
Distinct positions
Period
2026-06-30
Filed 2026-07-17
Q/Q Activity
+4 / −3 / ↑6 / ↓5
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26VTI72.8% · -2%WW2.6% · +13%WFCPL2.4% · 0%BND2.1% · -2%BACPL2.0% · 0%UBER1.2% · 0%GPN1.2% · 0%SO1.1% · +93%KKRPD1.1% · 0%APOPA1.0% · newCNP1.0% · 0%EVRG0.9% · 0%PPL0.9% · newWEC0.9% · 0%SRLN0.8% · 0%CMS0.7% · 0%OPI0.7% · newBKLN0.7% · +44%ARESPB0.6% · 0%NEE0.6% · newVGSH0.6% · 0%SOMN0.5% · 0%MTH0.3% · 0%HYG0.3% · 0%NEEPS0.3% · 0%PNW0.3% · 0%NVST0.3% · 0%SPHQ0.3% · -13%VUG0.3% · +364%HFRO0.2% · -40%HYT0.2% · 0%XYZ0.2% · newEFR0.2% · 0%HIX0.2% · 0%CCO0.2% · 0%CSWC0.1% · 0%EFT0.1% · 0%IHRT0.1% · -46%VVR0.1% · newEAF0.1% · 0%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
3 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 87.4%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Mar 27, 2026.
Assets Under Management
$88.80B
Discretionary
$88.43B
Employees
217
Accounts
199
Address
6300 C STREET SW
CEDAR RAPIDS, IA 52499-5338
CEDAR RAPIDS, IA 52499-5338
Phone
(319) 355-5408
This firm reports 4 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| AEGON USA ASSET MANAGEMENT HOLDING, LLC Control | MEMBER since Oct 2009 | 75% or more | Domestic Entity |
| OSTERHAUS, LARA, ANN Control | ELECTED MANAGER since Mar 2021 | Less than 5% | Individual |
| SHINE, SCOTT, CHRISTOPHER Control | ELECTED MANAGER since Mar 2025 | Less than 5% | Individual |
| THOMPSON, CHRISTOPHER, C Control | CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER since Jun 2019 | Less than 5% | Individual |
| JONES, STEPHEN, JAMES MARSHALL | AAM CIO, FIXED INCOME, EQUITY AND MULTI-ASSET since Apr 2022 | Less than 5% | Individual |
| SAYRE, ALINA | CHIEF COMPLIANCE OFFICER since Nov 2023 | Less than 5% | Individual |
| AEGON INTERNATIONAL B.V. Control Indirect owner via TRANSAMERICA CORPORATION | OWNER since Dec 2007 | 75% or more | Foreign Entity |
| AEGON LTD. Control Indirect owner via AEGON INTERNATIONAL B.V. | OWNER since Dec 2007 | 75% or more | Foreign Entity |
| AUSA HOLDING, LLC Control Indirect owner via AEGON USA ASSET MANAGEMENT HOLDING, LLC | OWNER since Oct 2009 | 75% or more | Domestic Entity |
| OSTERHAUS, LARA, ANN Control Indirect owner via AEGON USA ASSET MANAGEMENT HOLDING, LLC | ELECTED MANAGER since Mar 2021 | General partner, trustee or manager | Individual |
| SHINE, SCOTT, CHRISTOPHER Control Indirect owner via AEGON USA ASSET MANAGEMENT HOLDING, LLC | ELECTED MANAGER since Mar 2025 | General partner, trustee or manager | Individual |
| THOMPSON, CHRISTOPHER, C Control Indirect owner via AEGON USA ASSET MANAGEMENT HOLDING, LLC | ELECTED MANAGER since Jun 2019 | General partner, trustee or manager | Individual |
| TRANSAMERICA CORPORATION Control Indirect owner via AUSA HOLDING, LLC | OWNER since Dec 2004 | 75% or more | Domestic Entity |
Ownership & leadership changes · 35 filings with changes since Mar 29, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 28, 2025 filing
- AddedSHINE, SCOTT, CHRISTOPHER · ELECTED MANAGER · Less than 5% · control person
- AddedSHINE, SCOTT, CHRISTOPHER · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
Mar 26, 2024 filing
- No longer listedAEGON NV · OWNER · 75% or more · indirect via AEGON INTERNATIONAL B.V. · control person · listed since Dec 2007
- No longer listedSCHERER, THOMAS, JAMES · CHIEF LEGAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · Less than 5% · control person · listed since Feb 2020
- No longer listedSCHERER, THOMAS, JAMES · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person · listed since Feb 2020
- AddedAEGON LTD. · OWNER · 75% or more · indirect via AEGON INTERNATIONAL B.V. · control person
- ChangedSAYRE, ALINA · no longer a control person
Nov 10, 2023 filing
- No longer listedMAUTINO, JAMES, ANTHONY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jan 2014
- AddedSAYRE, ALINA · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
May 9, 2022 filing
- No longer listedMORRISON, RUSSELL, DANIEL · CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT · Less than 5% · control person · listed since Jun 2020
- AddedJONES, STEPHEN, JAMES MARSHALL · AAM CIO, FIXED INCOME, EQUITY AND MULTI-ASSET · Less than 5%
Mar 29, 2022 filing
- ChangedMORRISON, RUSSELL, DANIEL · title CHIEF INVESTMENT OFFICER → CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT
Mar 29, 2021 filing
- AddedOSTERHAUS, LARA, ANN · ELECTED MANAGER · Less than 5% · control person
- AddedOSTERHAUS, LARA, ANN · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
Jan 27, 2021 filing
- No longer listedPHELPS, STEPHANIE, MARIE · CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · Less than 5% · control person · listed since Jan 2019
- No longer listedPHELPS, STEPHANIE, MARIE · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person · listed since Jan 2013
Nov 20, 2020 filing
- No longer listedAEGON INTERNATIONAL B.V. · OWNER · 75% or more · indirect via THE AEGON TRUST · control person · listed since Dec 2007
- No longer listedTHE AEGON TRUST · OWNER · 75% or more · indirect via TRANSAMERICA CORPORATION · control person · listed since Dec 2004
- AddedAEGON INTERNATIONAL B.V. · OWNER · 75% or more · indirect via TRANSAMERICA CORPORATION · control person
Jul 31, 2020 filing
- No longer listedBUESE, KIRK, WILLIAM · CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · Less than 5% · control person · listed since Jan 2002
- No longer listedBUESE, KIRK, WILLIAM · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person · listed since Nov 2015
- No longer listedVAN WEEDE, MARC · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · listed since May 2019
- No longer listedmaatman, Alexander, hendrikus · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · listed since May 2014
- AddedMORRISON, RUSSELL, DANIEL · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedSCHERER, THOMAS, JAMES · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
Feb 14, 2020 filing
- No longer listedBUESE, KIRK, WILLIAM · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Nov 2015
- No longer listedCOTE, SCOTT · AAM EXECUTIVE COMMITTEE MEMBER · Less than 5% · control person · listed since Mar 2017
- No longer listedGABLER, CHRISTOPH · AAM EXECUTIVE COMMITTEE MEMBER · Less than 5% · control person · listed since Mar 2017
- No longer listedGreene, Darlene · EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US · Less than 5% · control person · listed since May 2012
- No longer listedPHELPS, STEPHANIE, MARIE · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Nov 2011
- No longer listedSCHAEFFER, JAMES, K · EXECUTIVE VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME · Less than 5% · control person · listed since Oct 2004
- No longer listedWIRTH, RICHARD, JAY · EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL · Less than 5% · control person · listed since Sep 2014
- No longer listedWIRTH, RICHARD, JAY · ELECTED MANAGER · General partner, trustee or manager · indirect via WIRTH, RICHARD, JAY · control person · listed since Mar 2019
- No longer listedWeih, Douglas, Alan · EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME · Less than 5% · control person · listed since Sep 2018
- AddedBUESE, KIRK, WILLIAM · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
- AddedPHELPS, STEPHANIE, MARIE · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
- AddedSCHERER, THOMAS, JAMES · CHIEF LEGAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER · Less than 5% · control person
- ChangedBUESE, KIRK, WILLIAM · title EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER → CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER
- ChangedPHELPS, STEPHANIE, MARIE · title EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER → CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER
- ChangedTHOMPSON, CHRISTOPHER, C · title PRESIDENT AND HEAD OF DISTRIBUTION → CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER
- ChangedTHOMPSON, CHRISTOPHER, C · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC: title ELECTED MANAGER AND BOARD PRESIDENT → ELECTED MANAGER
Older changes (26 more filings)
Jun 26, 2019 filing
- No longer listedBLACK, GARY, DOUGLAS · PRESIDENT · Less than 5% · control person · listed since Jun 2016
- No longer listedBLACK, GARY, DOUGLAS · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Jun 2016
- AddedTHOMPSON, CHRISTOPHER, C · ELECTED MANAGER AND BOARD PRESIDENT · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
- AddedVAN WEEDE, MARC · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC
- ChangedTHOMPSON, CHRISTOPHER, C · title HEAD OF DISTRIBUTION → PRESIDENT AND HEAD OF DISTRIBUTION
Apr 25, 2019 filing
- AddedTHOMPSON, CHRISTOPHER, C · HEAD OF DISTRIBUTION · Less than 5% · control person
- ChangedBLACK, GARY, DOUGLAS · title PRESIDENT AND INTERIM HEAD OF DISTRIBUTION → PRESIDENT
Mar 28, 2019 filing
- No longer listedDAVIS, MARTIN, MICHAEL ARTHUR · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · listed since May 2017
- AddedWIRTH, RICHARD, JAY · ELECTED MANAGER · General partner, trustee or manager · indirect via WIRTH, RICHARD, JAY · control person
- ChangedPHELPS, STEPHANIE, MARIE · title EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM COO → EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER
Oct 3, 2018 filing
- AddedWeih, Douglas, Alan · EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME · Less than 5% · control person
- ChangedSCHAEFFER, JAMES, K · title SENIOR VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME → EXECUTIVE VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME
Sep 7, 2018 filing
- No longer listedCOUGHLAN, MARTIN, GERARD · EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION · Less than 5% · control person · listed since Oct 2016
- No longer listedCOUGHLAN, MARTIN, GERARD · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since May 2017
- No longer listedVETSCH, WERNER, NIKLAUS · EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Feb 2015
- No longer listedVETSCH, WERNER, NIKLAUS · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Apr 2015
- AddedDAVIS, MARTIN, MICHAEL ARTHUR · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC
- Addedmaatman, Alexander, hendrikus · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC
- ChangedBLACK, GARY, DOUGLAS · title PRESIDENT → PRESIDENT AND INTERIM HEAD OF DISTRIBUTION
- ChangedPHELPS, STEPHANIE, MARIE · title EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO → EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM COO
Mar 29, 2018 filing
- ChangedSCHAEFFER, JAMES, K · title EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME → SENIOR VICE PRESIDENT, DEPUTY CHIEF INVESTMENT OFFICER AND CO-HEAD OF PUBLIC FIXED INCOME
Sep 22, 2017 filing
- AddedCOUGHLAN, MARTIN, GERARD · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ChangedSCHAEFFER, JAMES, K · title SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME → EXECUTIVE VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME
Mar 28, 2017 filing
- AddedCOTE, SCOTT · AAM EXECUTIVE COMMITTEE MEMBER · Less than 5% · control person
- AddedGABLER, CHRISTOPH · AAM EXECUTIVE COMMITTEE MEMBER · Less than 5% · control person
- AddedSCHAEFFER, JAMES, K · SENIOR VICE PRESIDENT AND CO-HEAD OF PUBLIC FIXED INCOME · Less than 5% · control person
- ChangedBUESE, KIRK, WILLIAM · title EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER → EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER
- ChangedCOUGHLAN, MARTIN, GERARD · title HEAD OF DISTRIBUTION → EXECUTIVE VICE PRESIDENT AND HEAD OF DISTRIBUTION
- ChangedGreene, Darlene · title HEAD OF HUMAN RESOURCES US → EXECUTIVE VICE PRESIDENT AND HEAD OF HUMAN RESOURCES US
- ChangedPHELPS, STEPHANIE, MARIE · title ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO → EXECUTIVE VICE PRESIDENT, TREASURER, CFO AND INTERIM CRO
- ChangedVETSCH, WERNER, NIKLAUS · title CHIEF OPERATING OFFICER AND SENIOR VICE PRESIDENT → EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER
- ChangedWIRTH, RICHARD, JAY · title CHIEF LEGAL OFFICER AND SECRETARY → EXECUTIVE VICE PRESIDENT, SECRETARY AND GENERAL COUNSEL
Oct 25, 2016 filing
- No longer listedFOX, DANIEL, PAUL · EXECUTIVE VICE PRESIDENT-RISK MANAGEMENT · Less than 5% · control person · listed since Sep 2001
- AddedCOUGHLAN, MARTIN, GERARD · HEAD OF DISTRIBUTION · Less than 5% · control person
- ChangedBLACK, GARY, DOUGLAS · title PRESIDENT AND INTERIM HEAD OF DISTRIBUTION → PRESIDENT
Aug 29, 2016 filing
- No longer listedNEUKRANZ, THOMAS, WARD · SENIOR VICE PRESIDENT-HEAD OF DISTRIBUTION · Less than 5% · control person · listed since Apr 2015
- ChangedBLACK, GARY, DOUGLAS · title PRESIDENT → PRESIDENT AND INTERIM HEAD OF DISTRIBUTION
Jul 18, 2016 filing
- No longer listedLEMMENS, PHILIP, ARMAND ALICE · GLOBAL CHIEF RISK OFFICER AAM · Less than 5% · control person · listed since Jan 2012
- No longer listedRUSSELL, SARAH, ANNE CECIL · GLOBAL CHIEF EXECUTIVE OFFICER AAM · Less than 5% · control person · listed since Sep 2010
- No longer listedmaatman, Alexander, hendrikus · GLOBAL CHIEF FINANCIAL OFFICER AAM · Less than 5% · control person · listed since May 2014
- AddedBLACK, GARY, DOUGLAS · PRESIDENT · Less than 5% · control person
- AddedBLACK, GARY, DOUGLAS · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
Mar 30, 2016 filing
- No longer listedFLEMING, KAREN, HUFNAGEL · SENIOR VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER · Less than 5% · control person · listed since Jan 2011
- No longer listedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AUSA HOLDING COMPANY · control person · listed since Dec 2004
- AddedAUSA HOLDING, LLC · OWNER · 75% or more · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
- AddedGreene, Darlene · HEAD OF HUMAN RESOURCES US · Less than 5% · control person
- AddedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AUSA HOLDING, LLC · control person
- ChangedWIRTH, RICHARD, JAY · title GENERAL COUNSEL AND SECRETARY → CHIEF LEGAL OFFICER AND SECRETARY
Jan 7, 2016 filing
- No longer listedAEGON U.S. HOLDING CORPORATION · OWNER · 75% or more · indirect via AEGON USA, LLC · control person · listed since Feb 2001
- No longer listedAEGON USA, LLC · OWNER · 75% or more · indirect via AUSA HOLDING COMPANY · control person · listed since Aug 2008
- No longer listedAUSA HOLDING COMPANY · OWNER · 75% or more · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person · listed since Aug 2009
- No longer listedMYERS, STEVEN, J · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since May 2015
- No longer listedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AEGON U.S. HOLDING CORPORATION · control person · listed since Dec 2004
- AddedBUESE, KIRK, WILLIAM · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- AddedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AUSA HOLDING COMPANY · control person
Sep 25, 2015 filing
- Addedmaatman, Alexander, hendrikus · GLOBAL CHIEF FINANCIAL OFFICER AAM · Less than 5% · control person
- ChangedBUESE, KIRK, WILLIAM · title EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER → EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND CHIEF INVESTMENT OFFICER
May 18, 2015 filing
- AddedMYERS, STEVEN, J · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- AddedNEUKRANZ, THOMAS, WARD · SENIOR VICE PRESIDENT-HEAD OF DISTRIBUTION · Less than 5% · control person
- AddedVETSCH, WERNER, NIKLAUS · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
Mar 31, 2015 filing
- No longer listedAEGON USA ASSET MANAGEMENT HOLDING, LLC · MEMBER · 75% or more · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Oct 2009
- No longer listedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AEGON USA, LLC · control person · listed since Dec 2004
- AddedLEMMENS, PHILIP, ARMAND ALICE · GLOBAL CHIEF RISK OFFICER AAM · Less than 5% · control person
- AddedRUSSELL, SARAH, ANNE CECIL · GLOBAL CHIEF EXECUTIVE OFFICER AAM · Less than 5% · control person
- AddedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AEGON U.S. HOLDING CORPORATION · control person
- ChangedFLEMING, KAREN, HUFNAGEL · title SENIOR VICE PRESIDENT → SENIOR VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER
- ChangedVETSCH, WERNER, NIKLAUS · title CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER AND SENIOR VICE PRESIDENT
Mar 2, 2015 filing
- No longer listedSWANK, THOMAS, ANTHONY · ELECTED MANAGER, PRESIDENT · Less than 5% · control person · listed since Jul 2014
- No longer listedSWANK, THOMAS, ANTHONY · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Jul 2014
Feb 11, 2015 filing
- No longer listedBEMAN, BRADLEY, JAY · ELECTED MANAGER, CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT · Less than 5% · control person · listed since Jun 2011
- No longer listedBEMAN, BRADLEY, JAY · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Jun 2011
- AddedVETSCH, WERNER, NIKLAUS · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedBUESE, KIRK, WILLIAM · title EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE → EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE AND INTERIM CHIEF INVESTMENT OFFICER
- ChangedFLEMING, KAREN, HUFNAGEL · title SENIOR VICE PRESIDENT AND COO → SENIOR VICE PRESIDENT
Oct 13, 2014 filing
- No longer listedSCHULZE, KATHERINE, ANNE · SECRETARY · Less than 5% · control person · listed since May 2014
- AddedWIRTH, RICHARD, JAY · GENERAL COUNSEL AND SECRETARY · Less than 5% · control person
Aug 28, 2014 filing
- No longer listedBLANKENSHIP, DAVID, LYNN · ELECTED MANAGER, PRESIDENT · Less than 5% · control person · listed since Jun 2011
- No longer listedBLANKENSHIP, DAVID, LYNN · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Jul 2006
- AddedSWANK, THOMAS, ANTHONY · ELECTED MANAGER, PRESIDENT · Less than 5% · control person
- AddedSWANK, THOMAS, ANTHONY · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
Jun 19, 2014 filing
- No longer listedMONTZ, RENEE, DENISE · SECRETARY AND GENERAL COUNSEL · Less than 5% · control person · listed since Jan 2012
- AddedSCHULZE, KATHERINE, ANNE · SECRETARY · Less than 5% · control person
Mar 28, 2014 filing
- No longer listedGRIFFIN, JACQUELINE, D · ELECTED MANAGER, EXECUTIVE VICE PRESIDENT - GENERAL ACCOUNT · Less than 5% · control person · listed since Jun 2011
- No longer listedGRIFFIN, JACQUELINE, D · ELECTED MANAGER · 25–50% · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person · listed since Jun 2011
- AddedAEGON U.S. HOLDING CORPORATION · OWNER · 75% or more · indirect via AEGON USA, LLC · control person
- ChangedAEGON USA, LLC · indirect via AUSA HOLDING COMPANY: title MEMBER → OWNER
- ChangedBEMAN, BRADLEY, JAY · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC: ownership 25–50% → General partner, trustee or manager
- ChangedPHELPS, STEPHANIE, MARIE · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC: ownership 25–50% → General partner, trustee or manager
Jan 14, 2014 filing
- AddedMAUTINO, JAMES, ANTHONY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedMONTZ, RENEE, DENISE · title SECRETARY, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER → SECRETARY AND GENERAL COUNSEL
Nov 18, 2013 filing
- No longer listedWALZ, RICHARD, JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2011
- ChangedMONTZ, RENEE, DENISE · title SECRETARY AND GENERAL COUNSEL → SECRETARY, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
Jan 10, 2013 filing
- No longer listedLEITCH, TERRY, LEE · EXECUTIVE VICE PRESIDENT - DERIVATIVES · Less than 5% · control person · listed since Mar 2010
Mar 29, 2012 filing (earliest on record)
- ListedAEGON INTERNATIONAL B.V. · OWNER · 75% or more · indirect via THE AEGON TRUST · control person
- ListedAEGON NV · OWNER · 75% or more · indirect via AEGON INTERNATIONAL B.V. · control person
- ListedAEGON USA ASSET MANAGEMENT HOLDING, LLC · MEMBER · 75% or more · control person
- ListedAEGON USA ASSET MANAGEMENT HOLDING, LLC · MEMBER · 75% or more · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ListedAEGON USA, LLC · MEMBER · 75% or more · indirect via AUSA HOLDING COMPANY · control person
- ListedAUSA HOLDING COMPANY · OWNER · 75% or more · indirect via AEGON USA ASSET MANAGEMENT HOLDING, LLC · control person
- ListedBEMAN, BRADLEY, JAY · ELECTED MANAGER, CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT · Less than 5% · control person
- ListedBEMAN, BRADLEY, JAY · ELECTED MANAGER · 25–50% · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ListedBLANKENSHIP, DAVID, LYNN · ELECTED MANAGER, PRESIDENT · Less than 5% · control person
- ListedBLANKENSHIP, DAVID, LYNN · ELECTED MANAGER · General partner, trustee or manager · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ListedBUESE, KIRK, WILLIAM · EXECUTIVE VICE PRESIDENT-PRIVATE AND STRUCTURED FINANCE · Less than 5% · control person
- ListedFLEMING, KAREN, HUFNAGEL · SENIOR VICE PRESIDENT AND COO · Less than 5% · control person
- ListedFOX, DANIEL, PAUL · EXECUTIVE VICE PRESIDENT-RISK MANAGEMENT · Less than 5% · control person
- ListedGRIFFIN, JACQUELINE, D · ELECTED MANAGER, EXECUTIVE VICE PRESIDENT - GENERAL ACCOUNT · Less than 5% · control person
- ListedGRIFFIN, JACQUELINE, D · ELECTED MANAGER · 25–50% · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ListedLEITCH, TERRY, LEE · EXECUTIVE VICE PRESIDENT - DERIVATIVES · Less than 5% · control person
- ListedMONTZ, RENEE, DENISE · SECRETARY AND GENERAL COUNSEL · Less than 5% · control person
- ListedPHELPS, STEPHANIE, MARIE · ELECTED MANAGER, SENIOR VICE PRESIDENT, TREASURER/CFO · Less than 5% · control person
- ListedPHELPS, STEPHANIE, MARIE · ELECTED MANAGER · 25–50% · indirect via AEGON USA INVESTMENT MANAGEMENT, LLC · control person
- ListedTHE AEGON TRUST · OWNER · 75% or more · indirect via TRANSAMERICA CORPORATION · control person
- ListedTRANSAMERICA CORPORATION · OWNER · 75% or more · indirect via AEGON USA, LLC · control person
- ListedWALZ, RICHARD, JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- VANGUARD INDEX FDS$11.9M +13.2%
- WW INTL INC$879.1K +31.4%
- INVESCO EXCH TRADED FD TR II$283.9K +44.2%
- BANK OF AMER CORP$144.1K +5.4%
- EVERGY INC$68.4K +5.4%
Top Trims
- HIGHLAND OPPS & INCOME FD-$114.0K -25.1%
- NEXTERA ENERGY CAP HLDGS INC-$46.0K -5.3%
- VANGUARD INDEX FDS-$35.4K -8.5%
- IHEARTMEDIA INC-$29.3K -21.5%
- GRAFTECH INTL LTD SR NT-$13.1K -12.8%
New Positions
- OFFICE PPTYS INCOME TR$970.9K
- SOUTHERN CO$707.4K
- BLOCK INC$284.2K
- INVESCO SR INCOME TR$107.2K
Exited Positions
- DUKE ENERGY CORP NEW$1.6M
- VENTAS RLTY LTD PARTNERSHIP$1.1M
- AMERICAN WTR CAP CORP$498.9K
AEGON USA Investment Management, LLC Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | VANGUARD INDEX FDS | VTI | 922908769 | $101.7M | 72.82% | 274,915 | SH |
| 2 | WW INTL INC | WW | 98262P200 | $3.7M | 2.63% | 230,115 | SH |
| 3 | WELLS FARGO & CO | WFCPL | 949746804 | $3.3M | 2.39% | 2,870 | PRN |
| 4 | VANGUARD BD INDEX FDS | BND | 921937835 | $2.9M | 2.08% | 39,665 | SH |
| 5 | BANK OF AMER CORP | BACPL | 060505682 | $2.8M | 2.02% | 2,248 | SH |
| 6 | UBER TECHNOLOGIES INC | UBER | 90353TAM2 | $1.7M | 1.20% | 1,403,000 | PRN |
| 7 | GLOBAL PMTS INC | GPN | 37940XAU6 | $1.6M | 1.16% | 1,800,000 | PRN |
| 8 | KKR & CO INC | KKRPD | 48251W500 | $1.5M | 1.05% | 37,400 | SH |
| 9 | APOLLO GLOBAL MGMT INC | APO | 03769M304 | $1.4M | 0.98% | 22,713 | SH |
| 10 | CENTERPOINT ENERGY INC | CNP | 15189TBD8 | $1.4M | 0.97% | 1,129,000 | PRN |
| 11 | EVERGY INC | EVRG | 30034WAD8 | $1.3M | 0.95% | 932,000 | PRN |
| 12 | PPL CAP FDG INC | — | 69352PAS2 | $1.3M | 0.91% | 1,122,000 | PRN |
| 13 | SSGA ACTIVE ETF TR | SRLN | 78467V608 | $1.1M | 0.76% | 26,300 | SH |
| 14 | CMS ENERGY CORP | CMS | 125896BX7 | $1.0M | 0.72% | 905,000 | PRN |
| 15 | OFFICE PPTYS INCOME TR | OPI | 67623C307 | $970.9K | 0.70% | 57,113 | SH |
| 16 | INVESCO EXCH TRADED FD TR II | BKLN | 46138G508 | $926.8K | 0.66% | 45,500 | SH |
| 17 | SOUTHERN CO | SO | 842587DZ7 | $826.1K | 0.59% | 750,000 | PRN |
| 18 | ARES MANAGEMENT CORPORATION | ARESPB | 03990B309 | $824.7K | 0.59% | 22,700 | SH |
| 19 | NEXTERA ENERGY CAP HLDGS INC | — | 65339KCY4 | $815.7K | 0.58% | 621,000 | PRN |
| 20 | VANGUARD SCOTTSDALE FDS | VGSH | 92206C102 | $785.7K | 0.56% | 13,500 | SH |
| 21 | SOUTHERN CO | SOMN | 842587842 | $727.5K | 0.52% | 14,530 | SH |
| 22 | SOUTHERN CO | SO | 842587ED5 | $707.4K | 0.51% | 700,000 | PRN |
| 23 | WEC ENERGY GROUP INC | WEC | 92939UAR7 | $619.5K | 0.44% | 500,000 | PRN |
| 24 | WEC ENERGY GROUP INC | WEC | 92939UAP1 | $604.8K | 0.43% | 500,000 | PRN |
| 25 | MERITAGE HOMES CORP | MTH | 59001ABF8 | $489.5K | 0.35% | 475,000 | PRN |
| 26 | ISHARES TR | HYG | 464288513 | $445.8K | 0.32% | 5,575 | SH |
| 27 | NEXTERA ENERGY INC | NEEPS | 65339F663 | $430.1K | 0.31% | 8,000 | SH |
| 28 | PINNACLE WEST CAP CORP | PNW | 723484AK7 | $417.1K | 0.30% | 350,000 | PRN |
| 29 | ENVISTA HOLDINGS CORPORATION | NVST | 29415FAD6 | $390.2K | 0.28% | 390,000 | PRN |
| 30 | INVESCO EXCHANGE TRADED FD T | SPHQ | 46137V241 | $384.7K | 0.28% | 4,270 | SH |
| 31 | VANGUARD INDEX FDS | VUG | 922908736 | $382.6K | 0.27% | 4,442 | SH |
| 32 | HIGHLAND OPPS & INCOME FD | HFRO | 43010E404 | $339.5K | 0.24% | 47,619 | SH |
| 33 | BLACKROCK CORPOR HI YLD FD I | HYT | 09255P107 | $299.6K | 0.21% | 35,000 | SH |
| 34 | BLOCK INC | XYZ | 852234AK9 | $284.2K | 0.20% | 300,000 | PRN |
| 35 | EATON VANCE SR FLTNG RTE TR | EFR | 27828Q105 | $255.7K | 0.18% | 24,120 | SH |
| 36 | WESTERN ASSET HIGH INCOM FD | HIX | 95766J102 | $240.0K | 0.17% | 60,614 | SH |
| 37 | CLEAR CHANNEL OUTDOOR HLDGS | CCO | 18453H106 | $214.4K | 0.15% | 88,592 | SH |
| 38 | CAPITAL SOUTHWEST CORP | CSWC | 140501AE7 | $192.4K | 0.14% | 185,000 | PRN |
| 39 | EATON VANCE FLOATING RATE IN | EFT | 278279104 | $191.9K | 0.14% | 17,768 | SH |
| 40 | IHEARTMEDIA INC | IHRT | 45174J509 | $107.2K | 0.08% | 25,000 | SH |
| 41 | INVESCO SR INCOME TR | VVR | 46131H107 | $107.2K | 0.08% | 35,749 | SH |
| 42 | GRAFTECH INTL LTD SR NT | EAF | 384313607 | $88.7K | 0.06% | 15,000 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-07-17 | $139.7M | 42 | 0001454937-26-000009 |
| 2026-03-31 | 2026-04-21 | $127.8M | 41 | 0001454937-26-000006 |
| 2025-12-31 | 2026-02-09 | $141.5M | 44 | 0001454937-26-000003 |
Filer Information
Address
6300 C STREET SWCEDAR RAPIDS, IA 52499
Phone
(319) 355-6762
Filing Manager
AEGON USA Investment Management, LLC
CEDAR RAPIDS, IA
Signatory
Dustin Boxa
Treasurer