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Bulldog Investors Portfolio holdings

AUM $445M
1-Year Est. Return 2.14%
This Fund
S&P 500
This Quarter Est. Return
-0.8%
1 Year Est. Return
+2.14%
3 Year Est. Return
+20.34%
5 Year Est. Return
+20.45%
10 Year Est. Return
+75.67%
AUM
$353M
AUM Growth
-$22.5M
Cap. Flow
-$18.2M
Cap. Flow %
-5.17%
Top 10 Hldgs %
24.5%
Holding
305
New
59
Increased
26
Reduced
95
Closed
47

Top Buys

Rank Stock Value
1
FRW
PWP Forward Acquisition Corp. I Class A Common Stock
FRW
+$6.84M
2
HFRO
Highland Opportunities and Income Fund
HFRO
+$4.72M
3
ASZ
Austerlitz Acquisition Corporation II
ASZ
+$4.49M
4
OKLO
Oklo
OKLO
+$4.36M
5
SFR
Appreciate Holdings, Inc. Class A Common Stock
SFR
+$3.06M

Top Sells

Rank Stock Value
1
STEW
SRH Total Return Fund
STEW
+$11M
2
FRWAU
PWP Forward Acquisition Corp. I Units
FRWAU
+$6.8M
3
SRNG
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
+$5.89M
4
IGAC
IG Acquisition Corp. Class A Common Stock
IGAC
+$5.12M
5
PTICU
PropTech Investment Corporation II Unit
PTICU
+$3.16M

Sector Composition

Rank Sector Weight
1 Financials 39.25%
2 Healthcare 6.02%
3 Real Estate 3.53%
4 Technology 1.99%
5 Utilities 1.23%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ZWRKW
226
DELISTED
Z-Work Acquisition Corp. Warrant
ZWRKW
$47K 0.01%
+73,479
New +$57.4K
HGASW
227
DELISTED
Global Gas Corporation Warrant
HGASW
$45K 0.01%
69,988
– –
NSTD.WS
228
DELISTED
Northern Star Investment Corp. IV Redeemable Warrants, each whole warrant exercisable for shares of Class A common stock at an exercise price of $11.50 per share
NSTD.WS
$43K 0.01%
48,148
-185
-0.4% -$209
BRIVW
229
DELISTED
B. Riley Principal 250 Merger Corp. Warrant
BRIVW
$42K 0.01%
+59,872
New +$55.9K
GHACW
230
DELISTED
Gaming & Hospitality Acquisition Corp. Warrants
GHACW
$42K 0.01%
60,392
-140
-0.2% -$118
HZAC.WS
231
DELISTED
Horizon Acquisition Corporation Warrants, each whole warrant exercisable for one Class A ordinary sh
HZAC.WS
$42K 0.01%
24,767
-130
-0.5% -$214
MACQW
232
DELISTED
MCAP Acquisition Corporation Warrants
MACQW
$41K 0.01%
38,132
– –
ISLEW
233
DELISTED
Isleworth Healthcare Acquisition Corporation Warrant
ISLEW
$36K 0.01%
65,108
-2,542
-4% -$1.66K
ETACW
234
DELISTED
E.Merge Technology Acquisition Corp. Warrant
ETACW
$35K 0.01%
50,611
– –
KURIW
235
DELISTED
Alkuri Global Acquisition Corp Warrant
KURIW
$35K 0.01%
24,999
– –
MBAC.WS
236
DELISTED
M3-Brigade Acquisition II Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
MBAC.WS
$35K 0.01%
61,238
-808
-1% -$905
CRXTW
237
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
$33K 0.01%
43,590
-2,800
-6% -$2.11K
MBTCR
238
DELISTED
Nocturne Acquisition Corporation Right
MBTCR
$32K 0.01%
+75,000
New +$32.8K
NOGNW
239
DELISTED
Nogin, Inc. Warrant
NOGNW
$31K 0.01%
+56,250
New +$31.2K
CMPOW
240
DELISTED
CompoSecure Inc Warrant
CMPOW
$30K 0.01%
18,800
– –
BNZIW
241
DELISTED
Banzai International Warrant
BNZIW
$29K 0.01%
49,994
– –
CHPMW
242
DELISTED
CHP Merger Corp. Warrant
CHPMW
$28K 0.01%
50,000
-2,500
-5% -$1.71K
COOLW
243
DELISTED
Corner Growth Acquisition Corp. Warrant
COOLW
$27K 0.01%
33,333
– –
OACB.WS
244
DELISTED
Oaktree Acquisition Corp. II Warrants, each whole warrant exercisable for one Class A ordinary share
OACB.WS
$27K 0.01%
29,996
– –
CAS.WS
245
DELISTED
Cascade Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class
CAS.WS
$27K 0.01%
43,914
-150
-0.3% -$130
AGBAW
246
DELISTED
AGBA Acquisition Ltd Warrant
AGBAW
$26K 0.01%
118,350
– –
ALACW
247
DELISTED
Alberton Acquisition Corp Warrant
ALACW
$24K 0.01%
64,355
– –
ASZ.WS
248
DELISTED
Austerlitz Acquisition Corporation II Warrants, each whole Warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
ASZ.WS
$21K 0.01%
+20,285
New +$22.7K
AGBAR
249
DELISTED
AGBA Acquisition Ltd Right
AGBAR
$19K 0.01%
76,600
– –
GSQD.WS
250
DELISTED
G Squared Ascend I Inc. Redeemable Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
GSQD.WS
$19K 0.01%
18,355
-590
-3% -$619
8 9
10
11 12

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FWSM
First Wilshire Securities Management Pasadena, California $444M AUM 42.88% 1-Year Est. Return
TC
TownSquare Capital Provo, Utah $444M AUM 24.03% 1-Year Est. Return
AC
Almitas Capital Santa Monica, California $443M AUM 42.36% 1-Year Est. Return
EFMC
Empire Financial Management Company New York $442M AUM 24.42% 1-Year Est. Return
DBG
De Burlo Group Boston, Massachusetts $441M AUM 21.21% 1-Year Est. Return
POEH
Post Oak Energy Holdings Houston, Texas $449M AUM 53.94% 1-Year Est. Return
BOA
Birnam Oak Advisors New York $441M AUM 37.12% 1-Year Est. Return

Bulldog Investors's Q3 2021 Portfolio in Review

As of Q3 2021, Bulldog Investors held 305 positions worth $353M, down 6% from $375M the previous quarter. Its ten largest holdings account for 25% of the portfolio.

Bulldog Investors withdrew a net $18.2M in Q3 2021, closing 47 positions and reducing 95 holdings. Its most notable exit was PWP Forward Acquisition Corp. I Units, an estimated $6.8M position sold in full.

By sector, the portfolio is most concentrated in Financials at 39% of assets, up from 35% a quarter earlier, followed by Healthcare and Real Estate.

Against the trend, Bulldog Investors opened a new position in PWP Forward Acquisition Corp. I Class A Common Stock worth $6.74M.

  • Bulldog Investors's largest Q3 2021 buy was PWP Forward Acquisition Corp. I Class A Common Stock: 700,970 shares worth $6.74M.
  • Bulldog Investors added most to FinTech Acquisition Corp. VI Units in Q3 2021, an estimated $1.54M increase.
  • Bulldog Investors's biggest Q3 2021 reduction was SRH Total Return Fund, cutting an estimated $11M.
  • Bulldog Investors fully exited PWP Forward Acquisition Corp. I Units in Q3 2021, selling an estimated $6.8M.
  • Bulldog Investors's ten largest holdings make up 25% of its $353M portfolio in Q3 2021.
  • Bulldog Investors opened 59 new positions and closed 47 in Q3 2021.
  • Bulldog Investors's portfolio value fell 6% quarter-over-quarter to $353M.

Based on Bulldog Investors's 13F filing for Q3 2021, filed 12 Nov 2021.