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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
SRNG
301
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-591,706
Closed -$5.89M
ACIC.WS
302
DELISTED
Atlas Crest Investment Corp.Redeemable warrants included as part of the units, each whole warrant ex
ACIC.WS
– –
-108,460
Closed -$167K
ACIC
303
DELISTED
Atlas Crest Investment Corp.
ACIC
– –
-269,442
Closed -$2.68M
MBTCU
304
DELISTED
Nocturne Acquisition Corporation Unit
MBTCU
– –
-75,000
Closed -$765K
JRO
305
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
– –
-100,345
Closed -$979K
9 10 11 12
13

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SGCM
Sand Grove Capital Management London, United Kingdom $444M AUM 131.11% 1-Year Est. Return
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.