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Elequin Capital Portfolio holdings

AUM $1.19B
1-Year Est. Return 16.08%
This Fund
S&P 500
This Quarter Est. Return
-5.61%
1 Year Est. Return
+16.08%
3 Year Est. Return
+46.25%
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$267M
AUM Growth
-$170M
Cap. Flow
-$43.3M
Cap. Flow %
-16.21%
Top 10 Hldgs %
79.28%
Holding
746
New
321
Increased
50
Reduced
153
Closed
192

Top Buys

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$52.7M
2
DTP
DTE Energy Company 2019 Corporate Units
DTP
+$23.7M
3
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$21.4M
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$6.87M
5
KRG icon
Kite Realty
KRG
+$1.99M

Top Sells

Rank Stock Value
1
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$140M
2
TFI icon
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
+$2.21M
3
PCPC
Periphas Capital Partnering Corporation
PCPC
+$1.84M
4
SHM icon
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
+$1.55M
5
KVSA
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
+$1.32M

Sector Composition

Rank Sector Weight
1 Financials 13.78%
2 Real Estate 2.56%
3 Technology 1.04%
4 Industrials 0.99%
5 Healthcare 0.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SEPA
701
DELISTED
SEP Acquisition Corp Class A Common Stock
SEPA
– –
-50,000
Closed -$495K
BREZ
702
DELISTED
Breeze Holdings Acquisition Corp. Common Stock
BREZ
– –
-20,000
Closed -$205K
CONX
703
DELISTED
CONX Corp. Class A Common Stock
CONX
– –
-100,478
Closed -$993K
SPLK
704
DELISTED
Splunk Inc
SPLK
– –
-349
Closed -$31K
NVTA
705
DELISTED
Invitae Corporation
NVTA
– –
-243
Closed -$1K
GOL
706
DELISTED
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
– –
-680
Closed -$2K
OTEC
707
DELISTED
OceanTech Acquisitions I Corp. Class A Common Stock
OTEC
– –
-100,000
Closed -$1.01M
KVSA
708
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
– –
-135,000
Closed -$1.32M
NEWR
709
DELISTED
New Relic, Inc.
NEWR
– –
-26
Closed -$1K
TRHC
710
DELISTED
Tabula Rasa HealthCare, Inc. Common Stock
TRHC
– –
-26
Closed –
RADI
711
DELISTED
Radius Global Infrastructure, Inc. Class A Common Stock
RADI
– –
-52
Closed -$1K
PIAI
712
DELISTED
Prime Impact Acquisition I
PIAI
– –
-50,000
Closed -$500K
SBIGW
713
DELISTED
SpringBig Holdings, Inc. Warrant
SBIGW
– –
-2,500
Closed –
NUVA
714
DELISTED
NuVasive, Inc.
NUVA
– –
-222
Closed -$11K
JWAC
715
DELISTED
Jupiter Wellness Acquisition Corp. Class A Common Stock
JWAC
– –
-50,000
Closed -$498K
ARVL
716
DELISTED
Arrival Ordinary Shares
ARVL
– –
-2
Closed –
KVSC
717
DELISTED
Khosla Ventures Acquisition Co. III Class A Common Stock
KVSC
– –
-45,514
Closed -$443K
ONEM
718
DELISTED
1Life Healthcare
ONEM
– –
-17
Closed –
AVYA
719
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
– –
-121
Closed –
NAACW
720
DELISTED
North Atlantic Acquisition Corporation Warrant
NAACW
– –
-1,500
Closed –
LJAQ
721
DELISTED
LightJump Acquisition Corporation Common Stock
LJAQ
– –
-50,000
Closed -$500K
FACA
722
DELISTED
Figure Acquisition Corp. I
FACA
– –
-40,000
Closed -$392K
CLVS
723
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-12
Closed –
PCPC
724
DELISTED
Periphas Capital Partnering Corporation
PCPC
– –
-75,000
Closed -$1.84M
CND
725
DELISTED
Concord Acquisition Corp.
CND
– –
-45,035
Closed -$449K
26 27 28
29
30

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Elequin Capital's Q3 2022 Portfolio in Review

As of Q3 2022, Elequin Capital held 746 positions worth $267M, down 39% from $437M the previous quarter. Its ten largest holdings account for 79% of the portfolio.

Elequin Capital withdrew a net $43.3M in Q3 2022, closing 192 positions and reducing 153 holdings. Its most notable exit was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, an estimated $140M position sold in full.

By sector, the portfolio is most concentrated in Financials at 14% of assets, up from 9.4% a quarter earlier, followed by Real Estate and Technology.

Against the trend, Elequin Capital opened a new position in Stanley Black & Decker, Inc. worth $41.1M.

  • Elequin Capital's largest Q3 2022 buy was Stanley Black & Decker, Inc.: 850,245 shares worth $41.1M.
  • Elequin Capital added most to South Jersey Industries, Inc. Corporate Units in Q3 2022, an estimated $21.4M increase.
  • Elequin Capital's biggest Q3 2022 reduction was Austerlitz Acquisition Corporation II, cutting an estimated $1.01M.
  • Elequin Capital fully exited Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A in Q3 2022, selling an estimated $140M.
  • Elequin Capital's ten largest holdings make up 79% of its $267M portfolio in Q3 2022.
  • Elequin Capital opened 321 new positions and closed 192 in Q3 2022.
  • Elequin Capital's portfolio value fell 39% quarter-over-quarter to $267M.

Based on Elequin Capital's 13F filing for Q3 2022, filed 10 Nov 2022.