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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
MONCW
251
DELISTED
Monument Circle Acquisition Corp. Warrant
MONCW
$17K ﹤0.01%
+29,785
New +$20.9K
FACA.WS
252
DELISTED
Figure Acquisition Corp. I Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
FACA.WS
$15K ﹤0.01%
14,010
-112
-0.8% -$127
CTAC.WS
253
DELISTED
Cerberus Telecom Acquisition Corp. Warrants included as part of the Units, each whole warrant exerci
CTAC.WS
$15K ﹤0.01%
15,062
-3,911
-21% -$5.01K
COVAW
254
DELISTED
COVA Acquisition Corp. Warrants to purchase Class A ordinary shares
COVAW
$14K ﹤0.01%
+24,750
New +$17.4K
SCOAW
255
DELISTED
ScION Tech Growth I Warrant
SCOAW
$13K ﹤0.01%
16,661
– –
CPSR.WS
256
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
$9K ﹤0.01%
10,000
– –
PKBOW
257
DELISTED
Peak Bio, Inc. Warrant
PKBOW
$8K ﹤0.01%
12,500
– –
FINS.RT
258
DELISTED
Angel Oak Financial Strategies Income Term Trust Rights (expires October 14, 2021)
FINS.RT
$7K ﹤0.01%
+33,455
New +$8.18K
ALTI icon
259
AlTi Global
ALTI
$457M
– –
-134,232
Closed -$1.3M
CCAP icon
260
Crescent Capital BDC
CCAP
$408M
– –
-113,862
Closed -$2.14M
EQS icon
261
Equus Total Return
EQS
$15.6M
– –
-66,126
Closed -$129K
HLLY icon
262
Holley
HLLY
$384M
– –
-111,480
Closed -$1.12M
JSPR icon
263
Jasper Therapeutics
JSPR
$27.4M
– –
-27,797
Closed -$2.76M
NRDY icon
264
Nerdy
NRDY
$93.7M
– –
-57,096
Closed -$567K
PCF
265
High Income Securities Fund
PCF
$102M
– –
-51,745
Closed -$503K
RKLB icon
266
Rocket Lab Corp
RKLB
$51.9B
– –
-20,000
Closed -$199K
RVT icon
267
Royce Value Trust
RVT
$2.31B
– –
-16,700
Closed -$317K
SHPW
268
DELISTED
Shapeways Holdings, Inc. Common Stock
SHPW
– –
-1,200
Closed -$96K
EFTRW
269
DELISTED
eFFECTOR Therapeutics, Inc. Warrant
EFTRW
– –
-19,566
Closed -$20K
EFTR
270
DELISTED
eFFECTOR Therapeutics, Inc. Common Stock
EFTR
– –
-2,368
Closed -$585K
HGAS
271
DELISTED
Global Gas Corporation Class A Common Stock
HGAS
– –
-139,976
Closed -$1.37M
QFTA
272
DELISTED
Quantum FinTech Acquisition Corporation
QFTA
– –
-247,594
Closed -$2.41M
APGN
273
DELISTED
Apexigen, Inc. Common Stock
APGN
– –
-37,664
Closed -$374K
BRIVU
274
DELISTED
B. Riley Principal 250 Merger Corp. Units
BRIVU
– –
-178,330
Closed -$1.77M
BSGAU
275
DELISTED
Blue Safari Group Acquisition Corp. Unit
BSGAU
– –
-49,966
Closed -$499K
9 10
11
12 13

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FWSM
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TC
TownSquare Capital Provo, Utah $444M AUM 24.03% 1-Year Est. Return
AC
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EFMC
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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.